Normal view MARC view ISBD view

Cox James D

Securities regulation - Gaithersburg Aspen Law & Business 2012 - 1110p

Contents:
Disc 1. Introduction;
Securities Act of 1933 and Securities Exchange Act of 1934;
Definition of a security;
Disc 2. The registration process;
Gun jumping issues;
Disc 3. Shelf registration procedures;
Transaction exemptions;
Disc 4. Resale of restricted securities;
"For value" requirement for a sale;
Disc 5. Exchanges under section 3(a)(9);
Exchanges under section 3(a)(10);
Mergers and acquisitions and the securities laws;
Regulation S;
Express liability provisions of the Securities Act;
Disc 6. Section 10(b) and rule 10b-5 of the Exchange Act;
SEC enforcement powers;
The regulation of brokers;
Disc 7. Synopsis

ISBN: 9781634592666

Subjects--Topical Terms:
1. Securities - Regulation - U S A

Dewey Class. No.: 346.092000 / COX