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Federal Securities Laws - Selected Statutes, Rules and Forms, 2019-2020 Edition (Paperback)
Loot Price: R2,614
Discovery Miles 26 140
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Federal Securities Laws - Selected Statutes, Rules and Forms, 2019-2020 Edition (Paperback)
Series: Selected Statutes
Expected to ship within 12 - 17 working days
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This volume serves as a federal securities laws supplement,
providing selected statutes, rules, and forms. It is the most
complete supplement available and is regularly updated and revised.
Contents include the Securities Act of 1933, Securities Exchange
Act of 1934, Investment Company Act of 1940, Investment Advisers
Act of 1940, SEC Rules of Practice, and related federal laws. It
contains many changes from the prior year's version, including:
Amendments to Regulation A; Amendments to Regulation C; Amendments
to Regulation S-K; Amendments to Regulation S-T; Amendments to
Regulation 14A; Amendments to Regulation M; Amendments to
Regulation NMS; New Securities Act Rule 139b and new Investment
Company Act Rule 24b-4 regarding publication or distribution of
covered investment fund research reports; New Exchange Act Rule
15l-1 regarding broker-dealer obligations when making
recommendations to customers; New Exchange Act Subpart 18a
regarding capital, margin and segregation requirements for
security-based swap dealers and participants; New Investment
Company Act Rule 30e-3 allowing online reports to shareholders by
registered investment companies; New Rules of Practice Rule 194
regarding security-based swap dealers/participants; Amendments to
various forms. This edition has a cutoff date of September 10,
2019.
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