United States securities law : a practical guide / James M. Bartos.
2002
KF1440 .B37 2002 (Map It)
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Details
Author
Title
United States securities law : a practical guide / James M. Bartos.
Published
London ; New York : Kluwer Law International, [2002]
Copyright
©2002
Call Number
KF1440 .B37 2002
Edition
Second edition.
ISBN
9041198962 (alk. paper)
Description
xiv, 268 pages ; 25 cm
System Control No.
(OCoLC)50654679
Bibliography, etc. Note
Includes bibliographical references and index.
Record Appears in
Table of Contents
Foreword
Acknowledgements
The author
Introduction
Ch. 1
Public Offerings
Sect. 1Regulation of securities offerings: the 1933 Act
Sect. 2Registration procedure
Sect. 3Publicity
Sect. 4Special types of offerings
Ch. 2
Offerings Exempt from Sec Registration
Sect. 1Exemption from registration based on type of security
Sect. 2Exemptions from registration based on the type of offering
Sect. 3International offerings
Sect. 4Secondary market transactions
Sect. 5Rule 144A offerings
Sect. 6Further considerations in private and Rule 144A offerings
Ch. 3
Special Issues in Public and Private Offerings
Sect. 1Public vs. private and Rule 144A offerings: a comparison
Sect. 2Equity linked transactions
Sect. 3Problems of integration between public and private offerings
Sect. 4Problems posed by the Investment Company Act
Sect. 5State securities laws
Sect. 6Self-regulatory agencies
Ch. 4
1934 Act Registration and Integrated Disclosure Requirements
Sect. 1Principles of registration under the 1934 Act
Sect. 2Requirements subsequent to registration
Sect. 3Integrated disclosure requirements
Ch. 5
Mergers and Acquisitions
Sect. 1Pre-bid share acquisitions
Sect. 2Federal securities law applicable to tender and exchange offers
Sect. 3"Going private" transactions
Sect. 4Registration requirements
Sect. 5Proxy solicitations
Sect. 6Strategies for foreign - foreign bids
Sect. 7Other federal laws
Sect. 8State law applicable to mergers and acquisitions
Sect. 9Acquisition techniques
Sect. 10Defensive techniques for a U.S. company
Ch. 6
Market Regulation
Sect. 1Disclosure
Sect. 2Insider trading
Sect. 3Distribution of securities
Sect. 4Other laws
Ch. 7
Listing and Trading
Sect. 1Stock exchanges
Sect. 2Over-the-counter markets
Sect. 3Clearance and settlement
Ch. 8
Market Regulators and Market Participants
Sect. 1Securities and Exchange Commission
Sect. 2Other regulatory authorities
Sect. 3Enforcement of securities regulations
Sect. 4Regulation of broker-dealers
Sect. 5Other market participants
Ch. 9
Financial Instruments
Sect. 1Creating securities
Sect. 2Form of securities
Sect. 3Other financial instruments
Ch. 10
Rethinking the Fundamentals
Index