Concise hornbook series. Study aids (West Academic Publishing)
Bibliography, etc. Note
Includes bibliographical references and index.
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 Insider reporting and short-swing trading: 1934 Act sec. 16 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 SEC enforcement Jurisdictional aspects Related laws.
Full text available with subscription to Study Aids package.
Digital File Characteristics
Source of Description
Description based on e-publication title page, viewed October 13, 2016.
Revision of: Hazen, Thomas Lee, 1947- Principles of securities regulation. Third edition. St. Paul, MN : West,