Includes bibliographical references and index. "The revised 4th edition contains two updates: a recent Supreme Court decision on insider trading and a development relating to SEC administrative proceedings, as well as some minor editorial revisions"--Page v.
Contents:
Chapter 1. The basic coverage of the securities laws -- Chapter 2. Registration requirements of the Securities Act of 1933 -- Chapter 3. The 1933 Act registration process and disclosure -- Chapter 4. Exemptions from 1933 Act registration -- Chapter 5. The theory of sale : corporate recapitalizations, reorganizations and mergers under the 1933 Act -- Chapter 6. IPO practices : manipulation, stabilization and hot issues -- Chapter 7. Liability under the Securities Act of 1933 -- Chapter 8. State blue sky laws -- Chapter 9. Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies -- Chapter 10. Shareholder suffrage : proxy regulation -- Chapter 11. Tender offer and takeover regulation -- Chapter 12. Manipulation and fraud -- Chapter 13. Insider reporting and short-swing trading : 1934 Act sec. 16 -- Chapter 14. Market regulation, broker-dealers -- Chapter 15. Debt securities and protection of bondholders : the Trust Indenture Act of 1939 -- Chapter 16. Federal regulation of investment companies : the Investment Company Act of 1940 -- Chapter 17. Investment Advisers Act of 1940 -- Chapter 18. SEC enforcement -- Chapter 19. Jurisdictional aspects -- Chapter 20. Related laws.
Summary:
"This title includes the most recent developments in securities regulation in an accessible format, including the JOBS Act. Authoritative coverage includes the registration process; exemptions; corporate recapitalizations, reorganizations, and mergers; market manipulation; liabilities; Securities Exchange Act of 1934; jurisdictional aspects; broker-dealer regulation and an overview of investment company regulation. This Revised 4th Edition updates the 4th Edition to include recent legal developments regarding insider trading and SEC administrative proceedings, as well as some editorial revisions."-- 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.