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Principles of securities regulation / Thomas Lee Hazen

By: Material type: TextTextLanguage: English Series: Concise hornbook seriesPublisher: St. Paul, MN : West Academic Publishing, c2017Edition: Revised 4th edDescription: xvi, 506 pages ; 24 cmISBN:
  • 9781683288299 (pbk)
Other title:
  • Securities regulation [Spine title]
Subject(s): LOC classification:
  • KF1439 .H393 2017
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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Holdings
Item type Current library Collection Shelving location Call number Copy number Status Date due Barcode
Books Books North South University Library Non-fiction General Stacks KF1439.H393 2017 (Browse shelf(Opens below)) 1 Available 48153
Books Books North South University Library Non-fiction General Stacks KF1439.H393 2017 (Browse shelf(Opens below)) 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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