The law of securities regulation /
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| Author / Creator: | Hazen, Thomas Lee, 1947- |
|---|---|
| Edition: | 6th ed. |
| Imprint: | St. Paul, MN : West, c2009. |
| Description: | xxxiii, 862 p. ; 26 cm. |
| Language: | English |
| Series: | Hornbook series |
| Subject: | |
| Format: | Print Book |
| URL for this record: | http://pi.lib.uchicago.edu/1001/cat/bib/7725971 |
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 recapitilizations, 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
- 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.
