My Library

Book Cover
Author Hazen, Thomas Lee, 1947-

Title The law of securities regulation / by Thomas Lee Hazen

Added Title Securities regulation
Edition 6th ed
Publisher St. Paul, MN : Thomson/West, c2009
 Reserve  KF1439 .H388 2009    AVAILABLE
Call # KF1439 .H388 2009
Description xxxiii, 862 p. ; 26 cm
Series Hornbook series
Hornbook series
Notes Includes index
Bibliog. Includes bibliographical references and index
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 violation 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 ; implied private remedies ; SEC Rule 10b-5 ; fraud in connection with the purchase or sale of securities ; improper trading on nonpublic material information -- Insider reporting and short-swing trading : Securities Exchange Act section 16 -- Market regulation and broker-dealer regulation -- Arbitration of broker-dealer disputes -- Operation of the Securities and Exchange Commission -- Jurisdictional aspects -- Debt securities and protection of bondholder s: 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
Notes Kept up-to-date by pocket parts
Summary "This Hornbook is a one volume version and a substantial abridgment 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. The Sixth Edition was revised in 2008 to reflect some important recent developments including the 1933 Act offering reform rules."--p. v
Notes Green
Subject Securities -- United States
Genre Hornbooks (Law)
ISBN 9780314187970 (hbk.)
0314187979 (hbk.)


Law Library Home Page