Items
Details
Author
Title
Securities regulation / Thomas Lee Hazen.
Imprint
Chicago : American Bar Association, 2011.
Description
xxxii, 509 pages ; 23 cm
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.
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.
Note
"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.
Location
KFSTO
Running Title
Corporate counsel guides : securities regulation.
Call Number
KF1439 .H388 2011
Language
English
ISBN
9781616320973
1616320974
1616320974
Record Appears in