Normal view MARC view ISBD view

Loss Louis

Fundamentals of securities regulation Vol. I - 6th - New York Aspen Publishers 2011 - 1085p xxxv

Contents:
Background of the SEC statutes;
Federal regulation of the distribution of securities;
Coverage of the Securities Act of 1933 : definitions and exemptions;
Protective committee reform : the Trust Indenture Act of 1939 and SEC functions under the Bankruptcy Code;
Control concepts under the SEC statutes;
Registration and postregistration provisions of the 1934 act;
Regulation of the securities markets;
Regulation of brokers, dealers, and investment advisers;
Fraud;
Manipulation;
Civil liability;
Government litigation;
SEC administrative law;
Conflict of laws, procedural aspects, and globalization.

ISBN: 9781454810162

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

Dewey Class. No.: 346.092000 / LOS-I