This title will help you acquire an understanding of the basic content and organization of federal and state securities law. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, securities businesses, and investment companies. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Securities and Exchange Commission's 1933 Act offering reform, the new Financial Industry Regulatory Authority, credit rating agencies, and changes to the New York Stock Exchange specialist system.
Securities in a Nutshell
"This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation"--Page ix.
Thus, so long as Irene and Irwin expect to make together more than $300,000 this year, they seem to fit under the dollar thresholds as of 2020. Under the current Reg D, the size of their investment is irrelevant. See Securities Act Rel.
This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.
This title provides an introduction and overview of broker-dealer regulation in the securities markets.
Paine Webber , Inc. , [ 1992 Transfer Binder ) CCH Fed . Sec . L. Rep . q 96,997 ( E.D. Pa . 1992 ) ; Wood & Locker , Inc. v . Doran and Associates , 708 F. Supp . 684 ( W.D. Pa . 1989 ) ; Hill v . Dyer , 521 F. Supp .
Understanding Securities Law
Students depend on Securities Regulation: Examples & Explanations because it gives them what they need: - coverage of key concepts, such as public offerings, exemptions from registration, liability in securities...
Securities Regulation: Hauptbd
The coverage of this text is designed for both the basic securities regulation course and for advanced seminars. In addition to case law, the text includes other relevant material such...