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Securities regulation in a nutshell

Author: Ratner, David L. Series: West nutshell series Publisher: West Publishing, 1978.Language: EnglishDescription: 300 p. ; 19 cm.Type of document: BookBibliography/Index: Includes index
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Item type Current location Collection Call number Status Date due Barcode Item holds
Book Europe Campus
Main Collection
Print K100.33 .U7 R38 1978
(Browse shelf)
001261011
Available 001261011
Total holds: 0

Includes index

Digitized

Securities Regulation in a Nutshell Outline Page Preface - - - - - - - - - - - - - - - - - - - - - - - - - - - v Table of Cases - - - - - - - - - - - - - - - - - - - - xiii Table of Statutes and Rules - - - - - - - - - - - xxiii Abbreviations- - - - - - - - - - - - - - - - - - - -- - xxix I. INTRODUCTION § 1. The Securities Markets - - - - - - - - - - - - - 3 (a) The Securities Industry - - - - - - - - 7 § 2. State and Federal Securities Laws - - - - - - 8 § 3. The Securities and Exchange Commission - - - - - - - - - - - - - - - - - - - - - - 3 § 4. Sources of Securities Law - - - - - - - - - - 15 § 5. Where to Find the Law - - - - - - - - - - - - - 19 § 6. The Definition of "Security" - - - - - - - - - - 22 (a) Stock and Notes - - - - - - - - - - - - 23 (b) Financial Instruments - - - - - - - - - 24 (c) Investment Contracts - - - - - - - - - 25 (d) Exempt Securities- - - - - - - - - - - - 27 II. REGULATION OF PUBLIC OFFERINGS § 7. 1933 Act Disclosure Requirements - - - § 8. The Registration Process - - - - - - - - - - § 9. The Operation of § 5 - - - - - - - - - - - - - (a) The Pre-Filing Period - - - - - - - - (b) The Waiting Period - - - - - - - - - (c) The Post-Effective Period - - - - - - 32 36 39 42 44 46 § 10. Exemptions from the 1933 Act - - - - - - - 49 (a) Private Placements - - - - - - - - - - - 49 (b) Intrastate Offerings - - - - - - - - - - 54 (c) Small Offerings - - - - - - - - - - - - - - 56 (d) Mergers and Reorganizations - - - - 60 (e) Sales by Persons Other than the Issuer - - - - - - - - - - - - - - - - - 63 (f) Problems Common to 1933 Act Exemptions - - - - - - - - - - - - - - 68 § 11. Civil Liability for Misstatements - - - - - 71 (a) Elements of a § 11 Claim - - - - - - - 73 (b) Persons Liable - - - - - - - - - - - - - - 76 (c) Liability Under § 12(s) - - - - - - - - - 81 III. REGULATION OF PUBLICLYHELD COMPANIES § 12. Overview of the 1934 Act - - - - - - - - - - 82 § 13. Periodic Disclosure Requirements - - - - - 87 § 14. Proxy Solicitation - - - - - - - - - - - - - - - 89 (a) Civil Liability - - - - - - - - - - - - - - - 93 § 15. Takeover Bids and Tender Offers - - - - - 97 § 16. Liability for "Short-Swing" Profits - - - - - 101 IV. ANTIFRAUD PROVISIONS § 17. Market Manipulation - - - - - - - - - - - (a) Distributions- - - - - - - - - - - - - - (b) Corporate Repurchases (c) Contested Takeover Bids - - - - - - § 18. The Jurisprudence of Rule 10b-5 -- -- - 109 110 113 114 115 Page § 19. Insider Trading - - - - - - - - - - - - - - - - 120 (a) Elements of the Violation - - - - - - 121 (b) Civil Liability - - - - - - - - - - - - - - 128 § 20. Corporate Misstatements - - - - - - - - - 135 (a) Elements of the Violation - - - - - - 135 (b) Civil Liability- - - - - - - - - - - - - - - 137 § 21. Corporate Mismanagement - - - - - - - - - 139 (a) Elements of the Violation - - - - - - 140 (b) The "Purchaser-Seller" Requirement - - - - - - - - - - - - - - - - - 141 (c) The "New Fraud" - - - - - - - - - - - - 144 (d) Mergers and Tender Offers - - - - - 147 V. REGULATION OF THE SECURITIES BUSINESS Page § 22. Broker-Dealer Selling Practices - - - - - - 150 (a) Conflicts of Interest - - - - - - - - - 151 (b) Inadequate Basis for Recommen dations- - - - - - - - - - - - - - - - - 155 § 23. Financial Responsibility of BrokerDealers - - - - - - - - - - - - - - - - 157 (a) Net Capital Rules - - - - - - - - - - - 157 (b) Customers' Funds and Securities 158 (c) The Securities Investor Protection Act- - - - - - - - - - - - - - - - - - - - 160 § 24. Market Regulation- - - - - - - - - - - - - - - 163 (a) Extension of Credit - - - - - - - - - - 163 (b) Trading by Exchange Members- - - 167 (c) Market Structure- - - - - - - - - - - - - 175 (d) Clearing and Settlement - - - - - - - 176 § 25. "Self-Regulation" -- - - - - - - - - - - - - 177 (a) Civil Liability Under SRO Rules - - -183 (b) Antitrust Limitations on SRO Actions - - - - - - - - - - - - - - - - 188 VI. REGULATION OF INVESTMENT COMPANIES § 26. Coverage of the 1940 Act - - - - - - - - - - 193 (a) Types of Investment Companies - - -193 (b) Exemptions - - - - - - - - - - - - - - - - 195 § 27. Regulation of Fund Activities - - - - - - - 198 § 28. Management and Control - - - - - - - - - - 201 (a) Shareholders, Directors and Offi cers - - - - - - - - - - - - - - - - - - 201 (b) Management Compensation - - - - 203 (c) Transfer of Management - - - - - - - 206 § 29. Transactions with Affiliates - - - - - - - - 208 (a) Joint Transactions - - - - - - - - - - - 209 (b) Brokerage Transactions - - - - - - - 210 § 30. Sale of Fund Shares - - - - - - - - - - - - - 213 (a) Disclosure Requirements - - - - - - - 214 (b) Controls on Prices - - - - - - - - - - - 215 VII. SANCTIONS FOR VIOLATIONS § 31. SEC Investigations - - - - - - - - - - - - - - 220 § 32. SEC Administrative Proceedings - - - - - 223 (a) Judicial Review of SEC Actions - - 226 § 33. SEC Injunction Actions - - - - - - - - - - - 228 § 34. Criminal Prosecutions - - - - - - - - - - - - 230 § 35. SRO Disciplinary Proceedings - - - - - - - 231 Page VIII. CIVIL LIABILITIES § 36. Sources of Liability - - - - - - - - - - - - - 234 § 37. Jurisdictional Questions - - - - - - - - - 236 (a) Venue and Service of Process - - - 237 (b) Statute of Limitations - - - - - - - - 238 § 38. Plaintiffs - - - - - - - - - - - - - - - - - - - - 239 (a) Class Actions - - - - - - - - - - - - - - 241 (b) Derivative Actions - - - - - - - - - - 243 (c) Bars to Recovery - - - - - - - - - - - - 245 § 39. Defendants - - - - - - - - - - - - - - - - - - - 249 (a) Liability of Principal - - - - - - - - - - 250 (b) Aiding and Abetting- - - - - - - - - - 251 (c) Indemnification and Contribution- 258 § 40. Damages - - - - - - - - - - - - - - - - - - - - - 260 § 41. Equitable Relief - - - - - - - - - - - - - - - - 266 IX. EXTRATERRITORIAL APPLICATION § 42. U. S. Transactions in Foreign Securities - - - - - - - - - - - - - - - - - - - - - - 271 § 43. Foreign Transactions in U. S. Securities - - - - - - - - - - - - - - - - - - - - - 273 § 44. Foreign Transactions in Foreign Se curities - - - - - - - - - - - - - - - - - - - 277 X. STATE REGULATION § 45. Antifraud Provisions - - - - - - - - - - - - 280 § 46. Broker-Dealer Registration - - - - - - - - 280 § 47. Registration of Securities - - - - - - - - - 281 (a) Procedures - - - - - - - - - - - - - - - 281 (b) Standards - - - - - - - - - - - - - - - - 282 (c) Exemptions - - - - - - - - - - - - - - - 283 Page § 48. Sanctions for Violations - - - - - - - - - - 285 § 49. Civil Liabilities - - - - - - - - - - - - - - - - 286 § 50. Jurisdictional Questions - - - - - - - - - 288 Index - - - - - - - - - - - - - - - - - - - - - - - - - - 293 Page

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