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Securities Regulation in a Nutshell

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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

Prefacep. III
Research Referencesp. XI
Table of Casesp. XVII
Table of Statutes and Rulesp. XXIX
Abbreviationsp. XLIX
The Securities Marketsp. 3
State and Federal Securities Lawsp. 8
The Securities and Exchange Commissionp. 13
Sources of Securities Lawp. 15
Where to Find the Lawp. 19
The Definition of "Security"p. 22
Regulation of Public Offerings
1933 Act Disclosure Requirementsp. 35
The Registration Processp. 41
The Operation of [section] 5p. 46
Exemptions From the 1933 Actp. 56
Civil Liability for Misstatementsp. 81
Regulation of Publicly-Held Companies
Overview of the 1934 Actp. 97
Periodic Disclosure Requirementsp. 102
Proxy Solicitationp. 105
Takeover Bids and Tender Offersp. 113
Liability for "Short-Swing" Profitsp. 123
Antifraud Provisions
Market Manipulationp. 131
The Jurisprudence of Rule 10b-5p. 138
Insider Tradingp. 150
Corporate Misstatementsp. 169
Corporate Mismanagementp. 175
Regulation of the Securities Business
Broker-Dealer Selling Practicesp. 180
Financial Responsibility of Broker-Dealersp. 187
Market Regulationp. 193
"Self-Regulation"p. 207
Regulation of Investment Companies
Coverage of the 1940 Actp. 219
Regulation of Fund Activitiesp. 224
Management and Controlp. 227
Transactions With Affiliatesp. 234
Sale of Fund Sharesp. 238
Sanctions for Violations
SEC Investigationsp. 244
SEC Administrative Proceedingsp. 247
SEC Injunction Actionsp. 252
Criminal Prosecutionsp. 255
SRO Disciplinary Proceedingsp. 256
Civil Liabilities
Sources of Liabilityp. 258
Jurisdictional Questionsp. 262
Plaintiffsp. 266
Defendantsp. 280
Damagesp. 289
Equitable Reliefp. 295
Extraterritorial Application
U.S. Transactions in Foreign Securitiesp. 299
Foreign Transactions in U.S. Securitiesp. 302
Foreign Transactions in Foreign Securitiesp. 306
State Regulation
Antifraud Provisionsp. 311
Broker-Dealer Registrationp. 311
Registration of Securitiesp. 312
Sanctions for Violationsp. 317
Civil Liabilitiesp. 317
Jurisdictional Questionsp. 319
Indexp. 323
Table of Contents provided by Syndetics. All Rights Reserved.