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Treatise on the Law of Securities Regulation

by Thomas Lee Hazen, Cary C. Boshamer Distinguished Professor of Law, The University of North Carolina at Chapel Hill
Format
Book
Published
St. Paul, MN : West, [2016]
Edition
Seventh Edition, 2016 Revised volume
Language
English
Variant Title
Law of securities regulation
Securities regulation
Series
Practitioner Treatise Series
ISBN
9780314844477, 0314844473, 9780314844491, 031484449X, 9780314844507, 0314844503, 9780314844514, 0314844511, 9780314844521, 031484452X, 9780314844538, 0314844538, 9780314844545, 0314844546
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 of the Federal Securities laws
  • The SEC's role in public utility regulation : the history of the repealed Public Utility holding Company Act of 1935 and transfer of authority from the SEC to the Federal Energy Regulatory Commission
  • 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
  • Overview of related laws
  • Overview of related laws dealing with securities transfers.
Description
7 volumes ; 26 cm.
Notes
Includes bibliographical references and index.
Technical Details
  • Access in Virgo Classic
  • Staff View

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    a| 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 of the Federal Securities laws -- The SEC's role in public utility regulation : the history of the repealed Public Utility holding Company Act of 1935 and transfer of authority from the SEC to the Federal Energy Regulatory Commission -- 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 -- Overview of related laws -- Overview of related laws dealing with securities transfers.
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