Treatise on the law of securities regulation /
- Publication info:
- St. Paul, MN : West, c2009.
Osgoode Hall Law School Library
Holdings: LAW Vols. 1-7
On the Shelf
- Treatise on the law of securities regulation / by Thomas Lee Hazen.
- Main Author:
- Hazen, Thomas Lee, 1947-
St. Paul, MN : West, 2009
- 6th ed., Practitioner's ed.
- Portion of Title:
- Law of securities regulation
- Spine Title:
- Securities regulation
- Physical Description:
7 v. ; 26 cm.
Includes bibliographical references and index.
9780314188007 (v. 1 : alk. paper)0314188002 (v. 1 : alk. paper)9780314188014 (v. 2 : alk. paper)0314188010 (v. 2 : alk. paper)9780314188021 (v. 3 : alk. paper)0314188029 (v. 3 : alk. paper)9780314188038 (v. 4 : alk. paper)0314188037 (v. 4 : alk. paper)9780314188045 (v. 5 : alk. paper)0314188045 (v. 5 : alk. paper)9780314188052 (v. 6 : alk. paper)0314188053 (v. 6 : alk. paper)9780314204851 (v. 7 : alk. paper)0314204857 (v. 7 : alk. paper)
Table of Contents
- 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
- Operation of the Securities and Exchange Commission
- Jurisdictional aspects
- Public utility regulation : transfer of authority from the SEC to the Federal Energy Regulatory Commission; the history of the former Public Utility Holding Company Act of 1935
- 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
- Primer on securities transfers.