CALICO

Principles of securities regulation / Thomas Lee Hazen.

By: Hazen, Thomas Lee, 1947- [author.]
Material type: TextTextSeries: Concise hornbook series: Publisher: St. Paul, MN : West Academic Publishing, [2016]Copyright date: ©2016Edition: Fourth editionDescription: xvi, 506 pages ; 24 cmContent type: text Media type: unmediated Carrier type: volumeISBN: 9780314269973; 0314269975Other title: Securities regulation [Spine title]Subject(s): United States. Securities and Exchange Commission | United States. Securities Act of 1933 | Securities -- United StatesLOC classification: KF1439 | .H393 2016
Contents:
Chapter 1. The basic coverage of the securities laws -- Chapter 2. Registration requirements of the Securities Act of 1933 -- Chapter 3. The 1933 Act registration process and disclosure -- Chapter 4. Exemptions from 1933 Act registration -- Chapter 5. The theory of sale : corporate recapitalizations, reorganizations and mergers under the 1933 Act -- Chapter 6. IPO practices : manipulation, stabilization and hot issues -- Chapter 7. Liability under the Securities Act of 1933 -- Chapter 8. State blue sky laws -- Chapter 9. Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies -- Chapter 10. Shareholder suffrage : proxy regulation -- Chapter 11. Tender offer and takeover regulation -- Chapter 12. Manipulation and fraud -- Chapter 13. Insider reporting and short-swing trading : 1934 Act sec. 16 -- Chapter 14. Market regulation, broker-dealers -- Chapter 15. Debt securities and protection of bondholders : the Trust Indenture Act of 1939 -- Chapter 16. Federal regulation of investment companies : the Investment Company Act of 1940 -- Chapter 17. Investment Advisers Act of 1940 -- Chapter 18. SEC enforcement -- Chapter 19. Jurisdictional aspects -- Chapter 20. Related laws.
Item type Current location Call number Status Date due Barcode Item holds
TREATISES, 1 VOLUME Camden Campus
Third Floor
KF1439 .H393 2016 (Browse shelf) Available 35016002567555
Total holds: 0

Includes bibliographical references and index.

Chapter 1. The basic coverage of the securities laws -- Chapter 2. Registration requirements of the Securities Act of 1933 -- Chapter 3. The 1933 Act registration process and disclosure -- Chapter 4. Exemptions from 1933 Act registration -- Chapter 5. The theory of sale : corporate recapitalizations, reorganizations and mergers under the 1933 Act -- Chapter 6. IPO practices : manipulation, stabilization and hot issues -- Chapter 7. Liability under the Securities Act of 1933 -- Chapter 8. State blue sky laws -- Chapter 9. Securities Exchange Act of 1934 : registration and reporting requirements for publicly traded companies -- Chapter 10. Shareholder suffrage : proxy regulation -- Chapter 11. Tender offer and takeover regulation -- Chapter 12. Manipulation and fraud -- Chapter 13. Insider reporting and short-swing trading : 1934 Act sec. 16 -- Chapter 14. Market regulation, broker-dealers -- Chapter 15. Debt securities and protection of bondholders : the Trust Indenture Act of 1939 -- Chapter 16. Federal regulation of investment companies : the Investment Company Act of 1940 -- Chapter 17. Investment Advisers Act of 1940 -- Chapter 18. SEC enforcement -- Chapter 19. Jurisdictional aspects -- Chapter 20. Related laws.

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