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Securities Regulation



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This universally acknowledged work is of immense day-to-day value to the practitioner. The authors' analysis of all relevant statutes, plus thousands of cases and SEC administrative decisions and letters, definitively clarifies such questions as:

  • When does a note fall within the definition of a "security?"
  • How have the courts altered the express civil liability provisions of the federal securities laws?
  • Can the SEC impose additional ten-day suspensions on trading without notice?
  • Does scienter include reckless as well as intentional conduct?
  • And countless others, so that you're almost sure to find coverage of the "small point" on which your case may turn.

Now beginning its Fourth Edition, and kept current through regular supplementation, this treatise keeps pace with the ever-increasing volume of litigation by including comprehensive examination of recent developments and court cases. The Fourth Edition revision of this multi-volume set has thus far included revised Volumes I and II (and Vol. XI - the end matter Volume). Future new volumes will continue to incorporate, update, and replace existing Third Edition volumes of the set.

And with all its amazing depth and scope, Securities Regulation continues to be the current authority on all of today's issues, with detailed coverage of:

  • Executive Compensation and Related Person Disclosure Rules
  • E-Proxy Rules
  • The SEC's Securities Offering Reform
  • The Sarbanes-Oxley Act
  • NYSE and NASD corporate governance standards, which have been approved by the SEC
  • Internet securities trading
  • Margin accounts
  • The SEC's safe harbor initiatives
  • SRO voting rights standards
  • Regulation FD and selective disclosure of material non-public information
  • SEC amendments to the tender offer, proxy and merger rules
  • Arbitrability of securities disputes
  • And much more



Product Line Wolters Kluwer Legal & Regulatory U.S.
SKU 000000000010032078
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