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Securities Regulation in Cyberspace, Fourth Edition by Eric C. Chaffee ,Howard Friedman Securities Regulation in Cyberspace, Fourth Edition by Eric C. Chaffee ,Howard Friedman

Securities Regulation in Cyberspace, Fourth Edition

By Howard Friedman, Eric C. Chaffee
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Securities Regulation in Cyberspace analyzes the interweaving of technology and the securities laws. The authors provide an in-depth review of the tremendous impact technological advancements such as the Internet have had, and will continue to have, on securities regulation. The book covers electronic delivery of disclosure, both in securities offerings and to satisfy ongoing Exchange Act obligations, and discusses the state and federal regulation of offering of securities electronically, both domestically and internationally. Designed for readers seeking a comprehensive, integrated guide to the innovative legal challenges of raising capital, maintaining investor relations and trading securities online, both the novice and the expert are shown how to use Internet technology in corporate financing, securities trading, and investor relations.

Securities Regulation in Cyberspace examines in detail major areas of interest and more:

  • Securities Act compliance in online offerings
  • Electronic delivery of SEC documents
  • Private placement and direct public offerings through the Internet
  • Blue sky laws in cyberspace
  • Investor relations on the WWW
  • Internet marketing of mutual funds
  • Proxy statements and annual meetings in an electronic era
  • Tender offers and takeovers using Internet technology
  • Securities fraud in cyberspace
  • Brokerage firms' use of Internet technology
  • Investment advisors online

The Fourth Edition has been significantly revised since the previous edition and, among other topics, includes coverage of:

  • Cybersecurity and the SEC
  • Cryptocurrencies as securities
  • New developments regarding EDGAR and XBRL
  • Recent amendments to the intrastate offerings exemptions
  • Insider trading and hacking
  • Broker-dealer liability for data breaches
  • High Frequency trading and “spoofing”
  • The rise of robo-advisers
  • New developments regarding the consolidated audit trail

Note: Online subscriptions are for three-month periods.


Pages 1024
Last Updated 11/11/2020
Update Frequency Annually
Product Line Wolters Kluwer Legal & Regulatory U.S.
ISBN 9781454896333
SKU 10048503-7777
Publish Frequency Annually
Product Line Wolters Kluwer Legal & Regulatory U.S.
SKU 000000000010071640
Table of Contents
  • Introduction
  • Chapter 1 Securities Regulation and The Online Revolution
  • Chapter 2 Electronically Posting and Delivering Sec Documents
  • Chapter 3 The Electronic Data Gathering, Analysis, and Retrieval System (Edgar)
  • Chapter 4 Electronic Offer, Sale, Aand Distribution Of Securities: Guide For Issuers, Underwriters, and Dealers
  • Chapter 5 Finding Capital Through the Internet: E-Underwriters and Direct Issuer Offerings
  • Chapter 6 Blue Sky Law Considerations in Cyberspace
  • Chapter 7 International Offerings in an Electronic Age
  • Chapter 8 Issuer and Third-Party Bulletin Boards: Unsuccessful Experiments in Seeking Liquidity Online
  • Chapter 9 Electronic Marketing of Mutual Fund Shares
  • Chapter 10 Employee Stock Plans, Dividend Reinvestment Plans, and Direct Stock Purchase Plans
  • Chapter 11 Investor Relations on the World Wide Web
  • Chapter 12 Corporate Governance in Cyberspace: Proxy Statements, Annual Reports, and Virtual Shareholder Meetings
  • Chapter 13 Electronic Tender Offers, Takeover Bids, and Proxy Fights
  • Chapter 14 Securities Fraud in Cyberspace: Scams, Liability, and Litigation
  • Chapter 15 Broker-Dealers and Internet Technology: SEC and SRO Regulation
  • Chapter 16 Providing Online Financial Advice: Regulation of Investment Advisers
  • Chapter 17 Bond Markets in the Electronic Age: Corporate, Government, and Municipal Securities
  • Chapter 18 ECNs and the SEC’s Alternative Trading System Rules
  • Chapter 19 Online Resources for Securities Lawyers
  • Index