48 records matched your query       

Author:

Brown, Gary M., 1955-

Title:

Soderquist on the securities laws / Gary M. Brown.

Edition:

5th ed.

Publisher:

Practising Law Institute,

Copyright Date:

c2006-

Description:

v. (loose-leaf) ; 25 cm.

Subject:

Securities--United States.

Other Authors:

Soderquist, Larry D., 1944-2005. Understanding the securities laws.
Practising Law Institute.

Notes:

Rev. ed. of: Understanding the securities laws / Larry D. Soderquist. 4th ed. c2003-c2005. "#9946." Includes bibliographical references and index.

Contents:

Exchange Act regulation of the Securities Business. Business context of Securities Act registration -- Regulatory framework of Securities Act registration -- Securities Act Registration Process -- Reach of Securities Act Regulation -- Securities Act Registration exemptions -- Resales of Securities under the Securities Act -- Liability for Securities Act violations -- Commission's general exemptive Authority; registration and reporting under the Exchange Act -- Regulation of proxy solicitations -- Regulation of tender offers -- Fraud and related issues under rules 10b-5 and the Sarbanes-Oxley Act -- Liability for trading profits under section 16(b) and Sarbanes-Oxley section 306 -- Exchange Act regulation of the Securities Business.

Series:

PLI's corporate and securities law library

ISBN:

9781402407277 (loose-leaf)
1402407270 (loose-leaf)

OCLC:

(OCoLC)69666474

LCCN:

2006902244

Locations:

N3AX771 -- Drake Law School Library (Des Moines)

N5UX522 -- University of Iowa Law Library (Iowa City)

OVUX522 -- University of Iowa Libraries (Iowa City)