Treatise on the law of securities regulation /

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Bibliographic Details
Author / Creator:Hazen, Thomas Lee, 1947-
Edition:6th ed., Practitioner's ed.
Imprint:St. Paul, MN : West, c2009-c2015.
Description:7 v. ; 26 cm.
Language:English
Series:Practitioner treatise series
Subject:
Format: Print Book
URL for this record:http://pi.lib.uchicago.edu/1001/cat/bib/7538508
Hidden Bibliographic Details
Varying Form of Title:Law of securities regulation
Securities regulation
ISBN:9780314188007 (v. 1)
0314188002 (v. 1)
9780314188014 (v. 2)
0314188010 (v. 2)
9780314188021 (v. 3)
0314188029 (v. 3)
9780314188038 (v. 4)
0314188037 (v. 4)
9780314188045 (v. 5)
0314188045 (v. 5)
9780314188052 (v. 6)
0314188053 (v. 6)
9780314204851 (v. 7)
0314204857 (v. 7)
Notes:Kept up to date with cumulative pocket part supplementation.
Includes bibliographical references and index.
Table of Contents:
  • 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
  • Public utility regulation: transfer of authority from the SEC to the Federal Energy Regulatory Commission; the history of the former Public Utility Holding Company Act of 1935
  • 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
  • Primer on securities transfers.