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- 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.
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:
- The Sarbanes-Oxley Act
- The SEC's disclosure requirements
- 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.
- Chapter 1: Background of the SEC Statutes
- Chapter 2: Federal Regulation of the Distribution of Securities
- Chapter 2: Federal Regulation of the Distribution of Securities (continued)
- Chapter 3: Coverage of the Securities Act of 1933: Definitions and Exemptions
- Chapter 3: Coverage of the Securities Act of 1933: Definitions and Exemptions (continued)
- 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
- Chapter 6: Registration and Postregistration Provisions of the 1934 Act (continued)
- Chapter 7: Regulation of the Securities Markets
- Chapter 7: Regulation of the Securities Markets (continued)
- Chapter 8: Regulation of Brokers, Dealers, and Investment Advisors
- Chapter 8: Regulation of Brokers, Dealers, and Investment Advisors (continued)
- Chapter 9: Fraud
- Chapter 9: Fraud (continued)
- Chapter 10: Manipulation
- Chapter 10: Manipulation (continued)
- Chapter 11: Civil Liability
- Chapter 11: Civil Liability (continued).
- Chapter 12: Government Litigation
- Chapter 13: SEC Administration Law
- Chapter 14: Conflict of Laws, Procedural Aspects, and Globalization
- 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
Joel Seligman is currently President of the University of Rochester. He was previously Dean and Ethan A.H. Shepley University Chair at Washington University School of Law in St. Louis, Missouri, and before that was Dean at the University of Arizona School of Law and Professor of Law at the University of Michigan. He received his J.D., cum laude, from Harvard Law School in 1971. He is the author of several books, including The Transformation of Wall Street: A History of the Securities and Exchange Commission and Modern Corporate Finance and the law school casebook Corporations: Cases and Materials.
Troy Paredes was confirmed in June 2008 as a Commissioner of the Securities and Exchange Commission. Troy Paredes worked on the Treatise and its Annual Supplements while a Professor of Law at Washington University School of Law before being sworn in and taking office as a Commissioner of the SEC. Before joining the Washington University faculty, Professor Paredes was a corporate and securities lawyer practicing in Los Angeles and San Francisco, California. He is presently a co-author of Fundamentals of Securities Regulation (with Louis Loss and Joel Seligman), and is the author of numerous articles on topics such as hedge funds, executive compensation, hostile takeovers, behavioral finance, and the board of directors.
The late Louis Loss had long been regarded as America's greatest authority on securities regulation. Since earning his LL.B. from Yale in 1937, he pursued an enormously successful career and influenced generations of lawyers through his teaching and writing. In 1952, after 15 years on the legal staff of the SEC he joined the faculty of Harvard Law School, where he as William Nelson Cromwell Professor of Law Emeritus. From 1987 to 9189 he served as Chairman of the New York Stock Exchange's Legal Advisory Committee. He was well known for his work as draftsman of the Uniform Securities Act and as the author of Securities Regulation, the treatise that defined the field when it was first published in 1951 and remains the leading treatise to this day.