Fundamentals of securities regulation /
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| Main Author: | |
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| Other Authors: | , |
| Format: | Book |
| Language: | English |
| Published: |
New York :
Wolters Kluwer Law & Business,
2011.
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| Edition: | 6th ed. |
| Subjects: | |
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Table of Contents:
- 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.