The law of securities regulation / Thomas Lee Hazen (Cary C. Boshamer Distinguished Professor of Law, the University of North Carolina at Chapel Hill).
"This Hornbook is a one volume version and a substantial abridgement of my seven volume Treatise on Securities Regulation (Practitioner's Edition). The Hornbook is designed for students but can also serve as a desk book for lawyers desiring an overview of the law"--Page v.
| Uniform Title: | Hornbook series.
|
|---|---|
| Main Author: | |
| Language: | English |
| Published: |
St. Paul, MN :
West Academic Publishing,
[2017]
|
| Edition: | Seventh edition. |
| Series: | Hornbook series.
|
| Subjects: | |
| Genre: | |
| Physical Description: | xxx, 842 pages ; 27 cm. |
| Variant Title: |
Securities regulation [Spine title] |
| Format: | Book |
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 violations 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
- Insider reporting and short-swing trading : Securities Exchange Act section 16
- Market regulation and broker-dealer regulation
- Arbitration of broker-dealer disputes
- Civil and criminal enforcement
- Jurisdictional aspects
- 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.