Principles of securities regulation /
- Publication info:
- St. Paul, MN : West, c2009.
Osgoode Hall Law School Library
On the Shelf
- Principles of securities regulation / by Thomas Lee Hazen.
- Main Author:
- Hazen, Thomas Lee, 1947-
St. Paul, MN : West, 2009
- 3rd ed.
- Spine Title:
- Securities regulation.
- Item Description:
- Physical Description:
xvi, 459 p. ; 24 cm.
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
- 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 l0b-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 [section] 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.