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Securities regulation
Publication details: Gaithersburg Aspen Law & Business 2012Description: 1110pISBN:- 9781634592666
- 346.092000Â COX
Contents:
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
| Item type | Current library | Call number | Status | Barcode | |
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BOOKs
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. | 346.092 COX (Browse shelf(Opens below)) | Available | 29705 |
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| 346.066 TAX-I SEBI manual Vol. I | 346.066 TAX-II SEBI manual Vol. II | 346.086 BRI America invents act : Law and analysis | 346.092 COX Securities regulation | 346.092 LOS-I Fundamentals of securities regulation Vol. I | 346.092 LOS-II Fundamentals of securities regulation Vol. II | 346.4101 OLI Work of the family lawyer |
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