The law of securities regulation / Thomas Lee Hazen.
2021
Formats
| Format | |
|---|---|
| BibTeX | |
| MARCXML | |
| TextMARC | |
| MARC | |
| DublinCore | |
| EndNote | |
| NLM | |
| RefWorks | |
| RIS |
Items
Details
Title
The law of securities regulation / Thomas Lee Hazen.
Edition
Eighth edition.
Imprint
St. Paul, MN : West Academic Publishing, [2021]
Distributed
[St. Paul, Minnesota] : West Academic Publishing, [2020]
Description
1 online resource (xxx, 858 pages).
Series
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
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
Civil and criminal enforcement: SEC injunctions, investigations, parallel proceedings; administrative hearings and disciplinary sanctions
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.
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
Civil and criminal enforcement: SEC injunctions, investigations, parallel proceedings; administrative hearings and disciplinary sanctions
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.
Summary
"This Hornbook is a one volume version and a substantial abridgement of my seven volume Treatise on the Law of Securities Regulation (Thomson Reuters). This Hornbook is designed for students and as a desk book for lawyers desiring an overview of the law."--Preface.
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- Law of securities regulation. Seventh edition. St. Paul, MN : West Academic Publishing, [2016]
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