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Securities Regulation Securities Regulation

Securities Regulation

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Overview

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
Last Updated 10/13/2016
Product Line Wolters Kluwer Legal & Regulatory U.S.
ISBN 9780316533430
SKU 10046249-7777
Product Line Wolters Kluwer Legal & Regulatory U.S.
SKU 000000000010032078
Table of Contents

Volume I

  • Chapter 1: Background of the SEC Statutes
  • Chapter 2: Federal Regulation of the Distribution of Securities

Volume II

  • Chapter 2: Federal Regulation of the Distribution of Securities (continued)
  • Chapter 3: Coverage of the Securities Act of 1933: Definitions and Exemptions

Volume III

  • Chapter 3: Coverage of the Securities Act of 1933: Definitions and Exemptions (continued)

Volume IV

  • Chapter 4: Protective Committee Reform: The Trust Indenture Act of 1939 and SEC Functions Under the Bankruptcy Code
  • Chapter 5: Control Concepts Under the SEC Statutes
  • Chapter 6: Registration and Postregistration Provisions of the 1934 Act

Volume V

  • Chapter 6: Registration and Postregistration Provisions of the 1934 Act (continued)
  • Chapter 7: Regulation of the Securities Markets

Volume VI

  • Chapter 7: Regulation of the Securities Markets (continued)
  • Chapter 8: Regulation of Brokers, Dealers, and Investment Advisors

Volume VII

  • Chapter 8: Regulation of Brokers, Dealers, and Investment Advisors (continued)
  • Chapter 9: Fraud

Volume VIII

  • Chapter 9: Fraud (continued)
  • Chapter 10: Manipulation

Volume IX

  • Chapter 10: Manipulation (continued)
  • Chapter 11: Civil Liability

Volume X

  • Chapter 11: Civil Liability (continued).
  • Chapter 12: Government Litigation
  • Chapter 13: SEC Administration Law
  • Chapter 14: Conflict of Laws, Procedural Aspects, and Globalization

Volume XI

  • Table of Cases
  • Table of No-Action and Interpretative Letters
  • Table of SEC Releases
  • Table of Statutory Citations
  • Table of Rule Citations
  • Table of Regulation FD Citations
  • Table of Regulation M-A Item Citations
  • Table of Regulation S-K Item Citations
  • Table of Form Citations
  • Index
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