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 |
Table of Contents:
- 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.