9780314284549 (paperback) 0314284540 (paperback) 0314284540
"This Hornbook is a one volume version and a substantial abridgement 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"--Page v.
Bibliography, etc. Note
Includes bibliographical references and index.
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 violations 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 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 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.
Digital File Characteristics
Source of Description
Online resource (West Academic, viewed October 4, 2017).