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Securities Regulation

Thomas Lee Hazen
Format
EBook; Book; Online
Published
Chicago : American Bar Association, General Practice, Solo & Small Firm Division, [2011]
Language
English
Series
Corporate Counsel Guides
ISBN
9781616320973, 1616320974
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.
Description
1 online resource (xxxii, 509 pages).
Notes
Includes bibliographical references and index.
Copyright Not EvaluatedCopyright Not Evaluated
Technical Details
  • Access in Virgo Classic
  • Staff View

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    a| 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.
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