This concise summary of the basics of securities regulation provides a background of the SEC statutes, definitions and exemptions from the Securities Acts of 1933 and 1934, regulations of the securities markets, regulations of brokers, dealers and investment advisors, fraud, manipulation and liability. A Table of Cases and No-Action Letters is included. Fundamentals of Securities Regulation is also available online via VitalLaw.
This study aid covers the essential background and current status of each major area of securities law. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application, the Dodd-Frank Act as well as the JOBS Act, including the crowdfunding and expanded Regulation A exemptions. Securities Regulation in a Nutshell is also available online via West Academic Study Aids.
This study aid is intended to provide students with a general understanding of the basic issues encountered in a Securities Regulation class. It focuses on the Securities Act of 1933 and the Securities Exchange Act of 1934.
This multi-volume treatise covers the specifics of regulating the securities industry, including registration requirements, IPOs, liability, blue sky laws, tender offer, takeovers, proxy regulation and much more. The final volume of the set includes a table of cases and administrative material, a table of statutes and extensive indexing. Updated by pocket parts and bound supplements. The Law of Securities Regulation is also available online via Westlaw.
This is the comprehensive treatise on the Securities Act of 1933, covering the organization of the SEC, definition of "security" and "sale," exempted securities and transactions, small issue exemptions, restricted and control securities, registration process, registration forms, registration of investment company securities, the Trust Indenture Act of 1939 and civil liabilities, SEC and criminal enforcement.
This is the companion volume to the resource above, focusing on the Securities Exchange Act of 1934 registration and reporting requirements, Integrated Disclosure, proxy rules and proxy contests, insider trading and short-swing trading, registration and regulation of securities markets, broker-dealers, transfer agents, clearing agencies and SEC enforcement actions and private civil liabilities. Updated three times a year on Lexis.
This treatise discusses the law of insider trading, including the fiduciary obligations of corporate insiders, liability of persons receiving material nonpublic information, government enforcement of the insider trading prohibition, private rights of action, recovery under section 16(b) of the Securities Exchange Act of 1934, and institutional liability for insider trading. Updated annually. Insider Trading is also available online via Westlaw.
This treatise discusses the Sarbanes-Oxley Act, PCAOB, Corporate Governance, public offering process, Rule 144A and private placements, registration and reporting under the Exchange Act, proxy regulation, tender offers, the Private Securities Litigation Reform Act, statute of limitations, small business disclosure, EDGAR, multi-jurisdictional disclosure, the Blue Sky law, and international capital markets.