Designed specifically For The Securities Regulation course, this statutory supplement contains all of the relevant statutes, rules, and forms needed—in a remarkably concise and uncluttered format. A highly effective teaching tool, it is the ideal complement to any casebook for Securities Regulation, including but not exclusive To The authors’ own Securities Regulation: Cases and Materials, Fifth Edition. the 2007 Edition features: The Securities Exchange Act of 1934: Rules and Forms Rule 14a-16. Internet Availability of Proxy Materials Section 15A(14), The new military sales clause Regulation; S-K, S-X, M, M-A, AC, FD, and G Regulation S-K: Item 308T. Internal Control over Financial Reporting Item 407. Corporate Gove Regulation S-X: Rule 2-02T. Accountants' Reports and Attestation Reports on Management's Assessment of Internal Control Over Financial Reporting Securities Act of 1933 Rules and Forms Rules of Practice and Investigations (Standards of Professional Conduct for Attorneys) Staff Accounting Bulletins Sarbanes-Oxley Act 2002 Investment Advisers Act of 1940 Advisers Act Rules Investment Company Act of 1940 Investment Company Act Rules
Securities Regulation: Selected Statutes, Rules, and Forms
Fundamentals of Securities Regulation. 2007 Supplement
Securities Regulation, 2007 Case Supplement covers: The Ninth Circuit's embrace of scheme liability in Simpson v.
The publication is replaced by updated volumes annually. Complete the set with volumes II and III. A 25% discount applies to a subscription for three years of updates. Discounts are applied after purchase by rebate from publisher.
The publication is replaced by updated volumes annually. Complete the set with volumes I and II. A 25% discount applies to a subscription for three years of updates. Discounts are applied after purchase by rebate from publisher.
The publication is replaced by updated volumes annually. Complete the set with volumes I and III. A 25% discount applies to a subscription for three years of updates. Discounts are applied after purchase by rebate from publisher.
This statutory supplement includes the most widely referenced statutory sections, rules, and forms, from the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act.
This book examines in theoretical and empirical terms the law on insider trading away from the dogmatic approach of Western literature by presenting the subject from the prism of a developing jurisdiction in post-colonial Africa with a ...
In addition, The work features analysis of other timely topics such as FIN 48, securities fraud litigation development, hedge fund advisers, elimination of the "tick test" under Rule 10a-1, adjusted filing fees, shareholder access to ...
The ABCs of Broker-dealer Regulation 2007