Securities Regulation in a Nutshell

Name: Securities Regulation in a Nutshell
Price: 11.98 USD
Availability: InStock
ISBN: 9780314065919

ISBN-10: 0314065911

ISBN-13: 9780314065919

Edition: 5th 1996

Authors: David L. Ratner

List price: $17.50

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Book details

List price: $17.50
Edition: 5th
Copyright year: 1996
Publisher: West Publishing Company, College & School Division
Binding: Paperback
Pages: 300
Size: 5.00" wide x 7.25" long x 0.75" tall
Weight: 0.682
Language: English

Preface	p. III
Research References	p. XI
Table of Cases	p. XVII
Table of Statutes and Rules	p. XXIX
Abbreviations	p. XLIX
Introduction
The Securities Markets	p. 3
State and Federal Securities Laws	p. 8
The Securities and Exchange Commission	p. 13
Sources of Securities Law	p. 15
Where to Find the Law	p. 19
The Definition of "Security"	p. 22
Regulation of Public Offerings
1933 Act Disclosure Requirements	p. 35
The Registration Process	p. 41
The Operation of [section] 5	p. 46
Exemptions From the 1933 Act	p. 56
Civil Liability for Misstatements	p. 81
Regulation of Publicly-Held Companies
Overview of the 1934 Act	p. 97
Periodic Disclosure Requirements	p. 102
Proxy Solicitation	p. 105
Takeover Bids and Tender Offers	p. 113
Liability for "Short-Swing" Profits	p. 123
Antifraud Provisions
Market Manipulation	p. 131
The Jurisprudence of Rule 10b-5	p. 138
Insider Trading	p. 150
Corporate Misstatements	p. 169
Corporate Mismanagement	p. 175
Regulation of the Securities Business
Broker-Dealer Selling Practices	p. 180
Financial Responsibility of Broker-Dealers	p. 187
Market Regulation	p. 193
"Self-Regulation"	p. 207
Regulation of Investment Companies
Coverage of the 1940 Act	p. 219
Regulation of Fund Activities	p. 224
Management and Control	p. 227
Transactions With Affiliates	p. 234
Sale of Fund Shares	p. 238
Sanctions for Violations
SEC Investigations	p. 244
SEC Administrative Proceedings	p. 247
SEC Injunction Actions	p. 252
Criminal Prosecutions	p. 255
SRO Disciplinary Proceedings	p. 256
Civil Liabilities
Sources of Liability	p. 258
Jurisdictional Questions	p. 262
Plaintiffs	p. 266
Defendants	p. 280
Damages	p. 289
Equitable Relief	p. 295
Extraterritorial Application
U.S. Transactions in Foreign Securities	p. 299
Foreign Transactions in U.S. Securities	p. 302
Foreign Transactions in Foreign Securities	p. 306
State Regulation
Antifraud Provisions	p. 311
Broker-Dealer Registration	p. 311
Registration of Securities	p. 312
Sanctions for Violations	p. 317
Civil Liabilities	p. 317
Jurisdictional Questions	p. 319
Index	p. 323
Table of Contents provided by Syndetics. All Rights Reserved.