Principles of securities regulation / by Thomas Lee Hazen.
2009
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Items
Details
Title
Principles of securities regulation / by Thomas Lee Hazen.
Variant Title
Index screen title: Hazen's Principles of securities regulation, 3d (Concise hornbook series)
Edition
Third edition.
Imprint
St. Paul, MN : West, [2009]
Distributed
[St. Paul, Minnesota] : West Academic Publishing, [2014]
Description
1 online resource (xviii, 459 pages).
Series
Concise hornbook series.
Study aids (West Academic Publishing)
Study aids (West Academic Publishing)
Formatted Contents Note
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
Liability under the Securities Act of 1933
State 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 l0b-5: fraud in connection with the purchase or sale of securities; improper trading on nonpublic material information
Insider reporting short-swing trading, and false SEC filings
Market regulation; broker-dealers
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
Related 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
Liability under the Securities Act of 1933
State 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 l0b-5: fraud in connection with the purchase or sale of securities; improper trading on nonpublic material information
Insider reporting short-swing trading, and false SEC filings
Market regulation; broker-dealers
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
Related laws.
Bibliography, etc. Note
Includes bibliographical references and index.
Type of File
West Academic eProducts doc viewer.
System Details Note
Mode of access: The purchase of an online book carries a 12-month license for online-use only. These products can be viewed on any device with an internet connection. There is no downloadable text or PDF made available to customers.
Source of Description
Description based on e-publication title page, viewed November 11, 2014.
Location
www
Available in Other Form
Original
Access Note
Full text available with subscription to Study Aids package.
Linked Resources
Alternate Title
West Academic Publishers
Language
English
Record Appears in