Principles of securities regulation / Thomas Lee Hazen.
2021
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Details
Title
Principles of securities regulation / Thomas Lee Hazen.
Edition
Fifth edition.
Imprint
St. Paul, MN : West Academic Publishing, [2021]
Distributed
[St. Paul, Minnesota] : West Academic Publishing, [2020]
Description
1 online resource (xvi, 522 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
Insider reporting and short-swing trading: 1934 Act [section] 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.
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 [section] 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.
Bibliography, etc. Note
Includes bibliographical references and index.
Source of Description
Description based on e-publication title page, viewed December 3, 2020.
Location
www
Other Editions
Revision of: Hazen, Thomas Lee, 1947- Principles of securities regulation. Revised fourth edition. St. Paul, MN : West Academic Publishing, [2017]
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