"An adaptation and expansion of the author's Principles of securities regulation, 3rd edition (West; 2009)"--T.p. verso.
Bibliography, etc. Note
Includes bibliographical references and index.
Formatted Contents Note
The basic coverage of the securities laws 1933 Act Registration requirements 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 155 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 10b-5; fraud in connection with the purchase or sale of securities; improper trading on nonpublic material information Insider reporting and short-swing trading-1934 Act N. 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 Related laws.
KF1439 .H388 2011
Corporate counsel guides : securities regulation.
Chicago : American Bar Association, 2011.