| Description |
xv, xxxi, 326 pages ; 19 cm |
| Series |
West nutshell series |
|
Nutshell series.
|
| Contents |
I. Introduction. 1. The Securities Markets. 2. State and Federal Securities Laws. 3. The Securities and Exchange Commission. 4. Sources of Securities Law. 5. Where to Find the Law. 6. The Definition of "Security" -- II. Regulation of Public Offerings. 7. 1993 Act Disclosure Requirements. 8. The Registration Process. 9. The Operation of [actual symbol not reproducible] 5. 10. Exemptions from the 1933 Act. 11. Civil Liability for Misstatements -- III. Regulation of Publicly-Held Companies. 12. Overview of the 1934 Act. 13. Periodic Disclosure Requirements. 14. Proxy Solicitation. 15. Takeover Bids and Tender Offers. 16. Liability for "Short-Swing" Profits -- IV. Antifraud Provisions. 17. Market Manipulation. 18. The Jurisprudence of Rule 10b-5. 19. Insider Trading. 20. Corporate Misstatements. 21. Corporate Mismanagement -- V. Regulation of the Securities Business. 22. Broker-Dealer Selling Practices. 23. Financial Responsibility of Broker-Dealers. 24. Market Regulation |
|
25. "Self-Regulation" -- VI. Regulation of Investment Companies. 26. Coverage of the 1940 Act. 27. Regulation of Fund Activities. 28. Management and Control. 29. Transactions with Affiliates. 30. Sale of Fund Shares -- VII. Sanctions for Violations. 31. SEC Investigations. 32. SEC Administrative Proceedings. 33. SEC Injunction Actions. 34. Criminal Prosecutions. 35. SRO Disciplinary Proceedings -- VIII. Civil Liabilities. 36. Sources of Liability. 37. Jurisdictional Questions. 38. Plaintiffs. 39. Defendants. 40. Damages. 41. Equitable Relief -- IX. Extraterritorial Application. 42. U.S. Transactions in Foreign Securities. 43. Foreign Transactions in U.S. Securities. 44. Foreign Transactions in Foreign Securities -- X. State Regulation. 45. Antifraud Provisions. 46. Broker-Dealer Registration. 47. Registration of Securities. 48. Sanctions for Violations. 49. Civil Liabilities. 50. Jurisdictional Questions |
| Notes |
Includes index |
| Subject |
Securities -- United States.
|
| LC no. |
92018886 |
| ISBN |
0314009302 (alk. paper) |
|
