Understanding securities law

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Where to find it

Law Library — 2nd Floor Collection (2nd floor)

Call Number
KF1440 .S74 2014
Status
Available
Call Number
KF1440 .S74 2014 c. 2
Status
Available

Authors, etc.

Names:

Summary

This Understanding treatise follows a logical sequence of analysis of a securities issue. The author begins by defining a security and registration exemptions, and then continues through the process for non-exempt transactions. Understanding Securities Law clearly, thoroughly, and concisely addresses the subjects covered in basic Securities Regulation courses, including:

The definition of securities exemptions from registration; the registration framework and process; Sarbanes-Oxley Act; SEC Securities Act Offering Rules; Resales and reorganizations; Due diligence; Liabilities and remedies; Affirmative disclosure duties; Insider trading; SEC enforcement; and Professional responsibility.

The author also includes a glossary of key terms, statutes, rules, regulations and forms and schedules, and comparative charts synopsizing previously discussed materials. The text covers the regulation of public and privately held companies under the Securities Acts, SEC fraud, concepts, civil liabilities under the securities laws, and state Blue Sky laws. It also discusses the Sarbanes-Oxley legislation, SEC public offering rules, SEC regulations on the resale of securities, and recent federal Supreme Court and appellate court decisions.

Contents

Introduction -- Definition of a security -- Issuer exemptions from registration -- The registration process -- Disclosure, materiality, and the Sarbanes-Oxley, and Dodd-Frank Acts -- Resales and reorganizations -- Due diligence and Securities Act liability -- Section 10(b) and related issues -- Alternative remedies -- Secondary liability -- Issuer affirmative disclosure obligations -- Insider trading -- Broker-dealer regulation -- Corporate control acquisitions and contests -- SEC enforcement.

Other details