The law of securities regulation / by Thomas Lee Hazen.
2009
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Details
Author
Title
The law of securities regulation / by Thomas Lee Hazen.
Edition
Sixth edition.
Imprint
St. Paul, MN : Thomson/West, ©2009.
Description
1 online resource (xxxiii, 862 pages).
Series
Hornbook series.
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
Operation of the Securities and Exchange Commission
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
Operation of the Securities and Exchange Commission
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 abridgment of my seven volume Treatise on Securities Regulation (Practitioner's Edition). The Hornbook is designed for students but can also serve as a desk book for lawyers desiring an overview of the law. The Sixth Edition was revised in 2008 to reflect some important recent developments including the 1933 Act offering reform rules."--Page v.
Note
Includes index.
Bibliography, etc. Note
Includes bibliographical references and index.
Supplement Note
Kept up-to-date by pocket parts.
Source of Description
Print version record.
Location
www
Available in Other Form
Linked Resources
Alternate Title
West Academic study aids.
Spine Title
Securities regulation
Language
English
ISBN
9780314187970 (electronic book)
0314187979 (electronic book)
9781628104035
1628104031
0314187979
0314187979 (electronic book)
9781628104035
1628104031
0314187979
Record Appears in