Fundamentals of Securities Regulation, Sixth 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, Sixth 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:
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The Dodd-Frank Wall Street Reform and Consumer Protection Act
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The establishment of the new Financial Stability Oversight Council
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Adoption of a modified version of the Volcker Rule
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Authorization of the SEC to regulate investment advisers to hedge fund and
other private fund advisers
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Authorization of the SEC to require that issuer proxy solicitations include
shareholder nominees
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Case developments including Erica P. John Fund v. Halliburton Co . and
Business Roundtable v. SEC
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And more!
Last Supplemented: October, 2012 - ISBN #9781454811633
VOLUME 1
CHAPTER 1. BACKGROUND OF THE SEC STATUTES
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A. Of Bubbles and Giants
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B. State Regulation of Securities
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C. The Battle of the Philosophies
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D. A Telescopic Preview of the SEC Statutes
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E. The Federal Securities Code F. The Securities and Exchange Commission
CHAPTER 2. FEDERAL REGULATION OF THE DISTRIBUTION OF SECURITIES
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A. Distribution Techniques
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B. The Basic Prohibitions of §5
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C. The Registration Procedure
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D. Contents of the Registration Statement and Prospectus (the SEC’s Accounting
Role)
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E. International Offerings
CHAPTER 3. COVERAGE OF THE SECURITIES ACT OF 1933: DEFINITIONS AND
EXEMPTIONS
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A. Definitions
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B. Exempted Securities
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C. Exempted Transactions
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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
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A. The Trust Indenture Act
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B. The SEC’s Functions in Bankruptcy Proceedings
CHAPTER 5. CONTROL CONCEPTS UNDER THE SEC STATUTES
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A. The Statutory Contexts
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B. Determinants of Control
CHAPTER 6. REGISTRATION AND POSTREGISTRATION PROVISIONS OF THE 1934 ACT
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A. Registration
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B. Reporting Requirements
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C. Proxies
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D. Tender Offers
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E. Insider Trading
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F. Sarbanes-Oxley Act Amendments
CHAPTER 7. REGULATION OF THE SECURITIES MARKETS
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A. Structure of the Securities Markets
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B. Securities Exchanges
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C. Securities Associations
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D. Brokerage Commission Rate Regulation
VOLUME 2
CHAPTER 8. REGULATION OF BROKERS, DEALERS, AND INVESTMENT ADVISERS
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A. Broker-Dealer Registration
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B. Broker-Dealer Substantive Regulation
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C. Investment Advisers
CHAPTER 9. FRAUD
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A. Common Law and SEC Fraud
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B. Issuers and Insiders
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C. Brokers and Dealers
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D. Fraud by Investment Advisers
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E. Use of the Mails or Interstate Facilities
CHAPTER 10. MANIPULATION
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A. A Classic Portrait of Market Manipulation
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B. Manipulation before the SEC
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C. Manipulation of the Securities Exchanges under the SEC Statutes
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D. Manipulation of the Over-the-Counter Market under the SEC Statutes
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E. Stabilization
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F. Resale Price Maintenance
CHAPTER 11. CIVIL LIABILITY
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A. Common Law and Equity
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B. Blue Sky Laws and the Securities Litigation Uniform Standards Act of 1998
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C. SEC Statutes
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D. General Provisions
CHAPTER 12. GOVERNMENT LITIGATION
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A. Injunction
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B. Criminal Prosecution
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C. Judicial Review of SEC Orders
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D. Res Judicata and Collateral Estoppel
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E. The Commission as Amicus Curiae
CHAPTER 13. SEC ADMINISTRATIVE LAW
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A. Securities Lawyers
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B. Investigation
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C. QuasijudicialProceedings
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D. Statutory Remedies
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E. Rulemaking
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F. Confidential Treatment
CHAPTER 14. CONFLICT OF LAWS, PROCEDURAL ASPECTS, AND GLOBALIZATION
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A. Jurisdiction and Venue
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B. Interstate Choice of Law
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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
