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Hazen, Thomas Lee, 1947-

Principles of securities regulation / Securities regulation Thomas Lee Hazen - Revised 4th ed. - xvi, 506 pages ; 24 cm. - Concise hornbook series .

Includes bibliographic references and index.

The basic coverage of the securities laws -- Registration requirements of the Securities Act of 1933 -- The 1933 Act registration process and disclosure -- Exemptions from 1933 Act registration -- The theory of sale : corporate recapitalizations, reorganizations and mergers under the 1933 Act -- IPO practices : manipulation, stabilization and hot issues -- Liability under the Securities Act of 1933 -- State blue sky laws -- Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies -- Shareholder suffrage : proxy regulation -- Tender offer and takeover regulation -- Manipulation and fraud -- Insider reporting and short-swing trading : 1934 Act section 16 -- Market regulation, broker-dealers -- Debt securities and protection of bondholders : the Trust Indenture Act of 1939 -- Federal regulation of investment companies : the Investment Company Act of 1940 -- Investment Advisers Act of 1940 -- SEC enforcement -- Jurisdictional aspects -- Related laws.



9781683288299 (pbk)


Securities--United States.

KF1439 / .H393 2017


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