Principles of securities regulation / Thomas Lee Hazen, Cary C. Boshamer Distinguished Professor of Law, The University of North Carolina at Chapel Hill.
2017
Items
Details
Title
Principles of securities regulation / Thomas Lee Hazen, Cary C. Boshamer Distinguished Professor of Law, The University of North Carolina at Chapel Hill.
Edition
Revised fourth edition.
Imprint
St. Paul, MN : West Academic Publishing, [2017]
Copyright
©2017
Description
1 online resource (xvi, 506 pages).
Series
Concise hornbook series.
Formatted Contents Note
Chapter 1. The basic coverage of the securities laws
Chapter 2. Registration requirements of the Securities Act of 1933
Chapter 3. The 1933 Act registration process and disclosure
Chapter 4. Exemptions from 1933 Act registration
Chapter 5. The theory of sale : corporate recapitalizations, reorganizations and mergers under the 1933 Act
Chapter 6. IPO practices : manipulation, stabilization and hot issues
Chapter 7. Liability under the Securities Act of 1933
Chapter 8. State blue sky laws
Chapter 9. Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies
Chapter 10. Shareholder suffrage : proxy regulation
Chapter 11. Tender offer and takeover regulation
Chapter 12. Manipulation and fraud
Chapter 13. Insider reporting and short-swing trading : 1934 Act sec. 16
Chapter 14. Market regulation, broker-dealers
Chapter 15. Debt securities and protection of bondholders : the Trust Indenture Act of 1939
Chapter 16. Federal regulation of investment companies : the Investment Company Act of 1940
Chapter 17. Investment Advisers Act of 1940
Chapter 18. SEC enforcement
Chapter 19. Jurisdictional aspects
Chapter 20. Related laws.
Chapter 2. Registration requirements of the Securities Act of 1933
Chapter 3. The 1933 Act registration process and disclosure
Chapter 4. Exemptions from 1933 Act registration
Chapter 5. The theory of sale : corporate recapitalizations, reorganizations and mergers under the 1933 Act
Chapter 6. IPO practices : manipulation, stabilization and hot issues
Chapter 7. Liability under the Securities Act of 1933
Chapter 8. State blue sky laws
Chapter 9. Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies
Chapter 10. Shareholder suffrage : proxy regulation
Chapter 11. Tender offer and takeover regulation
Chapter 12. Manipulation and fraud
Chapter 13. Insider reporting and short-swing trading : 1934 Act sec. 16
Chapter 14. Market regulation, broker-dealers
Chapter 15. Debt securities and protection of bondholders : the Trust Indenture Act of 1939
Chapter 16. Federal regulation of investment companies : the Investment Company Act of 1940
Chapter 17. Investment Advisers Act of 1940
Chapter 18. SEC enforcement
Chapter 19. Jurisdictional aspects
Chapter 20. Related laws.
Summary
"This title includes the most recent developments in securities regulation in an accessible format, including the JOBS Act. Authoritative coverage includes the registration process; exemptions; corporate recapitalizations, reorganizations, and mergers; market manipulation; liabilities; Securities Exchange Act of 1934; jurisdictional aspects; broker-dealer regulation and an overview of investment company regulation. This Revised 4th Edition updates the 4th Edition to include recent legal developments regarding insider trading and SEC administrative proceedings, as well as some editorial revisions."--Publisher.
Note
Includes index.
"The revised 4th edition contains two updates: a recent Supreme Court decision on insider trading and a development relating to SEC administrative proceedings, as well as some minor editorial revisions"--Page v.
"The revised 4th edition contains two updates: a recent Supreme Court decision on insider trading and a development relating to SEC administrative proceedings, as well as some minor editorial revisions"--Page v.
Bibliography, etc. Note
Includes bibliographical references and indexes.
Source of Description
Online resource (West Academic, viewed October 5, 2017), print version record.
Location
www
Available in Other Form
Print version: Hazen, Thomas Lee, 1947- author. Principles of securities regulation. Revised fourth edition
Linked Resources
Alternate Title
West Academic study aids.
Language
English
ISBN
9781683288299 (paperback)
1683288297 (paperback)
1683280849
9781683280842
0314269975
1683288297 (paperback)
1683280849
9781683280842
0314269975
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