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Book Cover
TREATISE
Author Soderquist, Larry D., 1944-2005, author

Title Securities law / by Larry D. Soderquist, Theresa A. Gabaldon

Edition Fifth Edition
Publisher St Paul, MN : Foundation Press, [2014]
LOCATION CALL #   STATUS
 Reserve  KF1440 .S615 2014    AVAILABLE
Call # KF1440 .S615 2014
Description xv, 232 pages ; 24 cm
Series Concepts and insights series
Concepts and insights series
Bibliog. Includes bibliographical references and index
Contents What is a security -- World of securities law -- Business context of securities law -- What can be done during Securities Act registration -- How securities are registered under the Securities act -- Exemptions from the registration requirements -- Resales by security holders -- Liability for violation of the Securities act -- Commission's general exemptive authority and registration and reporting under the Exchange Act -- Proxy regulations -- Tender offers -- Fraud and related issues under Rule 1-b-5, Sarbanes-Oxley, and the STOCK Act -- Liability for trading profits under Section 16(b) and Sarbanes-Oxley -- Exchange Act regulation of the securities business -- International aspects of securities law
Notes Blue, dark Red Orange
Subject Securities -- United States
Alt Author Gabaldon, Theresa A., 1954-, author
ISBN 1609304691
9781609304690

 
 
 


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