TY - BOOK AU - Hazen,Thomas Lee TI - Principles of securities regulation T2 - Concise hornbook series SN - 9781683288299 (pbk) AV - KF1439 .H393 2017 PY - 2017/// CY - St. Paul, MN PB - West Academic Publishing KW - Securities KW - United States N1 - 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 ER -