NLSUI OPAC header image
Amazon cover image
Image from Amazon.com

The law of securities regulation / by Thomas Lee Hazen.

By: Series: Hornbook seriesPublication details: St. Paul, Minn. : West Group, 2002.Edition: 4th edDescription: xxv, 1152 p. ; 26 cmISBN:
  • 0314238336 (hardcover : alk. paper)
  • 9780314238337
Other title:
  • Securities regulation [Spine title]
Subject(s): DDC classification:
  • 346.092 HAZ 21
LOC classification:
  • KF1439 .H39 2002
Contents:
Contents The basic coverage of the securities laws; Registration requirements of the Securities Act of 1933; The 1933 Act registration process and disclosure -- Exemptions from 1933 Act registration; The theory of sale : corporate recapitalizations, reorganizations and mergers under the 1933 Act -- IPO practices : manipulation, stabilization and hot issues; Remedies for violation of the Securities Act of 1933 (and other consequences of deficient registration statements); State securities laws ("blue sky" laws); Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies -- Shareholder suffrage : proxy regulation; Tender offer and takeover regulation; Manipulation and fraud : civil liability; implied private remedies; SEC Rule 10b-5; fraud in connection with the purchase or sale of securities; improper trading on nonpublic material information; Insider reporting and short-swing trading : Securities Exchange Act section 16; Market regulation and broker-dealer regulation; Arbitration of broker-dealer disputes; Operation of the Securities and Exchange Commission; Jurisdictional aspects; Debt securities and protection of bondholders : the Trust Indenture Act of 1939; Federal regulation of investment companies : the Investment Company Act of 1940; Investment Advisers Act of 1940; Special problems and overview of related laws.
Star ratings
    Average rating: 0.0 (0 votes)
Holdings
Item type Current library Shelving location Call number Status Barcode
BOOKs . Library Compactors 346.092 HAZ (Browse shelf(Opens below)) Available 18003

Includes index.

Contents
The basic coverage of the securities laws;
Registration requirements of the Securities Act of 1933;
The 1933 Act registration process and disclosure -- Exemptions from 1933 Act registration;
The theory of sale : corporate recapitalizations, reorganizations and mergers under the 1933 Act -- IPO practices : manipulation, stabilization and hot issues;
Remedies for violation of the Securities Act of 1933 (and other consequences of deficient registration statements);
State securities laws ("blue sky" laws);
Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies -- Shareholder suffrage : proxy regulation;
Tender offer and takeover regulation;
Manipulation and fraud : civil liability;
implied private remedies; SEC Rule 10b-5; fraud in connection with the purchase or sale of securities; improper trading on nonpublic material information;
Insider reporting and short-swing trading : Securities Exchange Act section 16;
Market regulation and broker-dealer regulation;
Arbitration of broker-dealer disputes;
Operation of the Securities and Exchange Commission;
Jurisdictional aspects;
Debt securities and protection of bondholders : the Trust Indenture Act of 1939;
Federal regulation of investment companies : the Investment Company Act of 1940;
Investment Advisers Act of 1940;
Special problems and overview of related laws.