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Fundamentals of Securities Regulation, Seventh Edition Fundamentals of Securities Regulation, Seventh Edition

Fundamentals of Securities Regulation, Seventh Edition

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Overview

Fundamentals of Securities Regulation, Seventh Edition gives you quick access to the law of securities regulation as derived from the eleven-volume, landmark treatise Securities Regulation. This consolidated, two-volume set distills the essence of Loss, Seligman, and Paredes’ master work into a 2,300-page authoritative resource that reviews and analyzes the most significant aspects of securities regulation.

Get the quick answers you need...when you need them.

Fundamentals of Securities Regulation, Seventh Edition details the rules and regulations affecting the securities market, providing comprehensive coverage and plain-English explanations in a two-volume set. And, through annual supplementation, you’ll keep pace with the ever-increasing volume of litigation, and receive up-to-date examinations of recent regulatory developments and court cases.

Benefit from current coverage of:

  • The Dodd-Frank Wall Street Reform and Consumer Protection Act
  • The establishment of the new Financial Stability Oversight Council
  • Adoption of a modified version of the Volcker Rule
  • Authorization of the SEC to regulate investment advisers to hedge fund and other private fund advisers
  • Authorization of the SEC to require that issuer proxy solicitations include shareholder nominees
  • Case developments including Erica P. John Fund v. Halliburton Co . and Business Roundtable v. SEC
  • And more!
Last Updated 06/20/2018
Product Line Wolters Kluwer Legal & Regulatory U.S.
ISBN 9781543802757
SKU 10045425-0002
Product Line Wolters Kluwer Legal & Regulatory U.S.
SKU 000000000010015622
Table of Contents

VOLUME 1

CHAPTER 1. BACKGROUND OF THE SEC STATUTES

  • A. Of Bubbles and Giants
  • B. State Regulation of Securities
  • C. The Battle of the Philosophies
  • D. A Telescopic Preview of the SEC Statutes
  • E. The Federal Securities Code F. The Securities and Exchange Commission

CHAPTER 2. FEDERAL REGULATION OF THE DISTRIBUTION OF SECURITIES

  • A. Distribution Techniques
  • B. The Basic Prohibitions of §5
  • C. The Registration Procedure
  • D. Contents of the Registration Statement and Prospectus (the SEC’s Accounting Role)
  • E. International Offerings

CHAPTER 3. COVERAGE OF THE SECURITIES ACT OF 1933: DEFINITIONS AND EXEMPTIONS

  • A. Definitions
  • B. Exempted Securities
  • C. Exempted Transactions
  • D. Resales of Control and Restricted Securities

CHAPTER 4. PROTECTIVE COMMITTEE REFORM: THE TRUST INDENTURE ACT OF 1939 AND SEC FUNCTIONS UNDER THE BANKRUPTCY CODE

  • A. The Trust Indenture Act
  • B. The SEC’s Functions in Bankruptcy Proceedings

CHAPTER 5. CONTROL CONCEPTS UNDER THE SEC STATUTES

  • A. The Statutory Contexts
  • B. Determinants of Control

CHAPTER 6. REGISTRATION AND POSTREGISTRATION PROVISIONS OF THE 1934 ACT

  • A. Registration
  • B. Reporting Requirements
  • C. Proxies
  • D. Tender Offers
  • E. Insider Trading
  • F. Sarbanes-Oxley Act Amendments

CHAPTER 7. REGULATION OF THE SECURITIES MARKETS

  • A. Structure of the Securities Markets
  • B. Securities Exchanges
  • C. Securities Associations
  • D. Brokerage Commission Rate Regulation

VOLUME 2

CHAPTER 8. REGULATION OF BROKERS, DEALERS, AND INVESTMENT ADVISERS

  • A. Broker-Dealer Registration
  • B. Broker-Dealer Substantive Regulation
  • C. Investment Advisers

CHAPTER 9. FRAUD

  • A. Common Law and SEC Fraud
  • B. Issuers and Insiders
  • C. Brokers and Dealers
  • D. Fraud by Investment Advisers
  • E. Use of the Mails or Interstate Facilities

CHAPTER 10. MANIPULATION

  • A. A Classic Portrait of Market Manipulation
  • B. Manipulation before the SEC
  • C. Manipulation of the Securities Exchanges under the SEC Statutes
  • D. Manipulation of the Over-the-Counter Market under the SEC Statutes
  • E. Stabilization
  • F. Resale Price Maintenance

CHAPTER 11. CIVIL LIABILITY

  • A. Common Law and Equity
  • B. Blue Sky Laws and the Securities Litigation Uniform Standards Act of 1998
  • C. SEC Statutes
  • D. General Provisions

CHAPTER 12. GOVERNMENT LITIGATION

  • A. Injunction
  • B. Criminal Prosecution
  • C. Judicial Review of SEC Orders
  • D. Res Judicata and Collateral Estoppel
  • E. The Commission as Amicus Curiae

CHAPTER 13. SEC ADMINISTRATIVE LAW

  • A. Securities Lawyers
  • B. Investigation
  • C. QuasijudicialProceedings
  • D. Statutory Remedies
  • E. Rulemaking
  • F. Confidential Treatment

CHAPTER 14. CONFLICT OF LAWS, PROCEDURAL ASPECTS, AND GLOBALIZATION

  • A. Jurisdiction and Venue
  • B. Interstate Choice of Law
  • C. International Aspects

Table of Cases

Table of No-Action and Interpretive Letters

Table of SEC Releases

Table of Statutory Citations

Table of Rule Citations

Table of Item Citations

Table of Form Citations

Index

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