Designed specifically for the Securities Regulation course, this statutory supplement contains all 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, Ninth Edition (forthcoming November 2019). New to the 2019 Edition: New Rule 15l-1 Regulation Best Interest has been added Thoroughly updated to reflect numerous changes made by the SEC to modernize and simplify disclosure requirements for public companies, investment advisers, and investment companies facilitate the disclosure of information to investors simplify compliance without significantly altering the total mix of information provided to investors.
The Seventh Edition pays close attention to the recently-enacted JOBS Act including the SEC's implementation rules. The new edition explores multiple impacts of the Dodd-Frank Act on the scope and content of securities regulations.
The Tenth Edition of Securities Regulation: Cases and Materials encompasses the sea changes that have recently occurred in the securities laws and capital markets, brought about by both SEC rulemaking and shifts in underwriting practices.
Securities Regulation: Selected Statutes, Rules, and Forms, 2021 Edition
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 .
A history of the law governing the earliest stock markets in England and the United States.
New to the 2022 Edition: Securities Exchange Act of 1934, Section 21: Investigations; Injunctions and Prosecution of Offenses, updated to authorize the Securities Exchange Commission (SEC) to seek disgorgement of unjust enrichment received ...
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...
This title includes the most recent developments in securities regulation in an accessible format, including the JOBS Act.
Fundamentals of Securities Regulation: Suppl. 2009
Looking farther into history, the work treats several key episodes prior to the New Deal, including the English financial crises of 1697 and 1720 and the "blue sky” era of the 1910s and 1920s in the United States.