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Fundamentals of securities regulation /

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Detalhes bibliográficos
Autor principal: Loss, Louis
Outros Autores: Paredes, Troy, Seligman, Joel
Formato: Livro
Idioma:inglês
Publicado em: New York : Wolters Kluwer Law & Business, 2011.
Edição:6th ed.
Assuntos:
Corporations > Finance > Law and legislation > United States.
Securities > United States.
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Sumário:
  • v. 1. Background of the SEC statutes
  • Federal regulation of the distribution of securities
  • Coverage of the Securities Act of 1933 : definitions and exemptions
  • Protective committee reform : the Trust Indenture Act of 1939 and SEC functions under the Bankruptcy Code
  • Control concepts under the SEC statutes
  • Registration and postregistration provisions of the 1934 act
  • Regulation of the securities markets
  • Regulation of brokers, dealers, and investment advisers
  • Fraud
  • Manipulation
  • Civil liability
  • Government litigation
  • SEC administrative law
  • Conflict of laws, procedural aspects, and globalization.
  • v. 2. Regulation of brokers, dealers, and investment advisers
  • Fraud
  • Manipulation
  • Civil liability
  • Government litigation
  • SEC administrative law
  • Conflict of laws, procedural aspects, and globalization.

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