Securities regulation [electronic resource] / Thomas Lee Hazen.
Saved in:
| Online Access: |
Law Students, Faculty, and Staff (via Bloomberg Law) |
|---|---|
| Main Author: | |
| Other title: | Bloomberg Law online Bloomberg Law online. |
| Format: | Electronic eBook |
| Language: | English |
| Published: |
Chicago :
American Bar Association, General Practice, Solo and Small Firm Division,
[2011]
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| Series: | Corporate counsel guides.
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| Subjects: |
Table of Contents:
- The basic coverage of the securities laws
- 1933 Act Registration requirements
- 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
- Liability under the Securities Act of 1933
- State 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 : 1934 Act N. 16
- Market regulation; broker-dealers
- 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
- Related laws.