Principles of securities regulation /
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| Author / Creator: | Hazen, Thomas Lee, 1947- |
|---|---|
| Edition: | 3rd ed. |
| Imprint: | St. Paul, MN : Thomson/West, c2009. |
| Description: | xvi, 459 p. ; 24 cm. |
| Language: | English |
| Series: | Concise hornbook series Concise hornbook series. |
| Subject: | |
| Format: | Print Book |
| URL for this record: | http://pi.lib.uchicago.edu/1001/cat/bib/8163534 |
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| 100 | 1 | |a Hazen, Thomas Lee, |d 1947- |0 http://id.loc.gov/authorities/names/n84005672 |1 http://viaf.org/viaf/108967869 | |
| 245 | 1 | 0 | |a Principles of securities regulation / |c by Thomas Lee Hazen. |
| 246 | 1 | 8 | |a Securities regulation |
| 250 | |a 3rd ed. | ||
| 260 | |a St. Paul, MN : |b Thomson/West, |c c2009. | ||
| 300 | |a xvi, 459 p. ; |c 24 cm. | ||
| 336 | |a text |b txt |2 rdacontent |0 http://id.loc.gov/vocabulary/contentTypes/txt | ||
| 337 | |a unmediated |b n |2 rdamedia |0 http://id.loc.gov/vocabulary/mediaTypes/n | ||
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| 490 | 1 | |a Concise hornbook series | |
| 504 | |a Includes bibliographical references and index. | ||
| 505 | 0 | |a Chap. 1. The basic coverage of the securities laws -- Chap. 2. Registration requirements of the Securities Act of 1933 -- Chap. 3. The 1933 Act registration process and disclosure -- Chap. 4. Exemptions from 1933 Act registration -- Chap. 5. The theory of sale: corporate recapitalizations, reorganizations and mergers under the 1933 Act -- Chap. 6. IPO practices: manipulation, stabilization and hot issues -- Chap. 7. Liability under the Securities Act of 1933 -- Chap. 8. State blue sky laws -- Chap. 9. Securities Exchange Act of 1934: registration and reporting requirements for publicly traded companies -- Chap. 10. Shareholder suffrage: proxy regulation -- Chap. 11. Tender offer and takeover regulation --Chap. 12. Manipulation and fraud: civil liability; implied private remedies; SEC Rule l0b-5: fraud in connection with the purchase or sale of securities; improper trading on nonpublic material information -- Chap. 13. Insider reporting short-swing trading, and false SEC filings -- Chap. 14. Market regulation; broker-dealers -- Chap. 15. Debt securities and protection of bondholders: the Trust Indenture Act of 1939 -- Chap. 16. Federal regulation of investment companies: the Investment Company Act of 1940 -- Chap. 17. Investment Advisers Act of 1940 -- Chap. 18. Related laws. | |
| 650 | 0 | |a Securities |z United States. |0 http://id.loc.gov/authorities/subjects/sh2010111900 | |
| 650 | 7 | |a Securities. |2 fast |0 http://id.worldcat.org/fast/fst01110743 | |
| 651 | 7 | |a United States. |2 fast |0 http://id.worldcat.org/fast/fst01204155 | |
| 830 | 0 | |a Concise hornbook series. |0 http://id.loc.gov/authorities/names/no2003063939 | |
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