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The law of securities regulation
- Author / Creator
- Available as
- Physical
- Summary
-
"This Hornbook is a one volume version and a substantial abridgement of my seven volume Treatise on the Law of Securities Regulation (Thomson Reuters). This Hornbook is designed for students and as...
"This Hornbook is a one volume version and a substantial abridgement of my seven volume Treatise on the Law of Securities Regulation (Thomson Reuters). This Hornbook is designed for students and as a desk book for lawyers desiring an overview of the law."--Preface.
Details
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- Creator
- Thomas Lee Hazen, Cary C. Boshamer Distinguished Professor of Law, the University of North Carolina at Chapel Hill
- Other Title
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- Securities regulation
- Format
- Books
- Language
- English
- Publication
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- Eighth edition
- St. Paul, MN : West Academic Publishing, [2021]
- Series
- Physical Details
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- xxx, 858 pages ; 26 cm
- ISBNs
- 9781642424096, 1642424099
- OCLC
- on1223011526
- Includes bibliographical references and index.
- 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 -- Civil and criminal enforcement: SEC injunctions, investigations, parallel proceedings; administrative hearings and disciplinary sanctions -- 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