Introduction -- Definition of a "security" -- Issuer exemptions from registration -- The registration process -- Disclosure, materiality, and the Sarbanes-Oxley and Dodd-Frank Acts -- Resales and reorganizations -- Due diligence and Securities Act liability in registered and public offerings -- Section 10(b) and related issues -- Alternative remedies -- Secondary liability and distinguishing primary from secondary liability -- Issuer affirmative disclosure obligations -- Insider trading -- Broker-dealer regulation -- Corporate control acquisitions and contests -- SEC enforcement.
Summary:
"The eighth edition of Understanding Securities Law provides comprehensive coverage of the federal securities laws, including legislative, judicial, and SEC pronouncements. Additions to the new edition include the SEC's amendments to the limited offering rules, significant appellate and Supreme Court decisions, and SEC actions in both the litigation and transaction settings"-- Provided by publisher.
This resource is supported by the Institute of Museum and Library Services under the provisions of the Library Services and Technology Act as administered by State Library of Iowa.