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(eBook PDF) The Law of Securities Regulation (Hornbooks) 7th Edition

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Product details:

  • ISBN-10 ‏ : ‎ 0314284540
  • ISBN-13 ‏ : ‎ 978-0314284549
  • Author: Thomas Hazen 
“This Hornbook is a one volume version and a substantial abridgement of my seven volume Treatise on the Law of Securities Regulation (Thomson Reuters). This Hornbook is designed for students and as a desk book for lawyers desiring an overview of the law”–Page v.

Table contents:

  1. The basic coverage of the securities laws
  2.  Registration requirements of the Securities Act of 1933
  3. The 1933 Act registration process and disclosure
  4. Exemptions from 1933 Act registration
  5. The theory of sale : corporate recapitalizations, reorganizations, and mergers under the 1933 Act
  6. IPO practices : manipulation, stabilization and hot issues
  7. Remedies for violations of the Securities Act of 1933 (and other consequences of deficient registration statements)
  8. State securities laws (“blue sky” laws)
  9. Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies
  10. Shareholder suffrage : proxy regulation
  11. Tender offer and takeover regulation
  12.  Manipulation and fraud : civil liability
  13.  Implied private remedies
  14. SEC Rule 10b-5
  15. Fraud in connection with the purchase or sale of securities
  16. improper trading on nonpublic material information
  17. Insider reporting and short-swing trading : Securities Exchange Act section 16
  18. Market regulation and broker-dealer regulation
  19. Arbitration of broker-dealer disputes
  20.  Civil and criminal enforcement : SEC injunctions, investigations, parallel proceedings
  21. Administrative hearings and disciplinary sanctions
  22.  Jurisdictional aspects
  23. Debt securities and protection of bondholders : the Trust Indenture Act of 1939
  24.  Federal regulation of investment companies : the Investment Company Act of 1940
  25. Investment Advisers Act of 1940
  26. Special problems and overview of related laws.

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