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Principles of securities regulation / Thomas Lee Hazen

By: Hazen, Thomas Lee, 1947-.
Material type: TextTextSeries: Concise hornbook series.Publisher: St. Paul, MN : West Academic Publishing, c2017Edition: Revised 4th ed.Description: xvi, 506 pages ; 24 cm.ISBN: 9781683288299 (pbk).Other title: Securities regulation [Spine title].Subject(s): Securities -- United States
Contents:
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.
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Item type Current location Collection Shelving location Call number Copy number Status Date due Barcode
Books Books NSU Library
Non-fiction General Stacks KF1439.H393 2017 (Browse shelf) 1 Available 48153
Books Books NSU Library
Non-fiction General Stacks KF1439.H393 2017 (Browse shelf) 2 Available 48154

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.

Law

Sumaiya Kainat Bintey Kohinoor

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