Securities regulation in a nutshell / by David L. Ratner.
1992
KF1440 .R37 1992 (Map It)
Available at Offsite ReCAP Facility
Formats
| Format | |
|---|---|
| BibTeX | |
| MARCXML | |
| TextMARC | |
| MARC | |
| DublinCore | |
| EndNote | |
| NLM | |
| RefWorks | |
| RIS |
Items
Details
Author
Title
Securities regulation in a nutshell / by David L. Ratner.
Published
St. Paul, Minn. : West Pub. Co., 1992.
Call Number
KF1440 .R37 1992
Edition
Fourth edition.
Alternate Title
Securities regulation
ISBN
0314009302 (alk. paper)
Description
xv, xxxi, 326 pages ; 19 cm.
System Control No.
(OCoLC)25965184
Note
Spine title: Securities regulation
Includes index
Includes index
Series
Record Appears in
Table of Contents
Preface
Table of Cases
Table of Statutes and Rules
Abbreviations
I
Introduction
1The Securities Markets
3
2State and Federal Securities Laws
8
3The Securities and Exchange Commission
13
4Sources of Securities Law
15
5Where to Find the Law
18
6The Definition of "Security"
21
II
Regulation of Public Offerings
71993 Act Disclosure Requirements
34
8The Registration Process
39
9The Operation of [actual symbol not reproducible] 5
44
10Exemptions from the 1933 Act
53
11Civil Liability for Misstatements
79
III
Regulation of Publicly-Held Companies
12Overview of the 1934 Act
93
13Periodic Disclosure Requirements
98
14Proxy Solicitation
100
15Takeover Bids and Tender Offers
109
16Liability for "Short-Swing" Profits
120
IV
Antifraud Provisions
17Market Manipulation
128
18The Jurisprudence of Rule 10b-5
135
19Insider Trading
147
20Corporate Misstatements
166
21Corporate Mismanagement
170
V
Regulation of the Securities Business
22Broker-Dealer Selling Practices
175
23Financial Responsibility of Broker-Dealers
182
24Market Regulation
188
25"Self-Regulation"
202
VI
Regulation of Investment Companies
26Coverage of the 1940 Act
215
27Regulation of Fund Activities
221
28Management and Control
224
29Transactions with Affiliates
231
30Sale of Fund Shares
235
VII
Sanctions for Violations
31SEC Investigations
242
32SEC Administrative Proceedings
245
33SEC Injunction Actions
250
34Criminal Prosecutions
253
35SRO Disciplinary Proceedings
254
VIII
Civil Liabilities
36Sources of Liability
257
37Jurisdictional Questions
261
38Plaintiffs
265
39Defendants
276
40Damages
285
41Equitable Relief
291
IX
Extraterritorial Application
42U.S. Transactions in Foreign Securities
296
43Foreign Transactions in U.S. Securities
299
44Foreign Transactions in Foreign Securities
303
X
State Regulation
45Antifraud Provisions
307
46Broker-Dealer Registration
307
47Registration of Securities
308
48Sanctions for Violations
312
49Civil Liabilities
312
50Jurisdictional Questions
314
Index
319