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This is the nation's first and oldest casebook on securities
regulation. This edition has been streamlined for easier use, but
it continues to provide instructors and students with the full
range of tools for the in-depth study of securities regulation. It
has been revised and updated to take into account the following:
Initial coin offerings and sales of other crypto-assets Changes in
the primary and secondary capital markets, including high frequency
trading Certain amendments to the public disclosure requirements
Amendments to the limited offering exemptions The ongoing debate
around elements of Rule 10b-5 Regulation Best Interest Recent
Supreme Court cases, including their implications for certain civil
litigation and the SEC's continued reliance on administrative
proceedings
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.
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 Regulations S–K; Amendments to Regulation S–T;
Amendments to Regulation 13 D–G; Amendments to Regulation 14A;
Amendments to Regulation 14C; Amendments to Regulation 14D; New
Securities Act Rule 408 under Regulation S–T regarding filing fee
exhibit interactive data; New Exchange Act Rule 14a–19 regarding
solicitation of proxies in support of director nominees other than
the registrant's nominees; Amendments to Rules and Regulations
under the Investment Company Act; Amendments to Rules and
Regulations under the Investment Advisers Act; Amendments to
various forms. This edition has a cutoff date of September 19,
2022.
This is the 2022 case supplement to accompany Cox and Eisenberg's
Business Organizations: Cases and Materials, 12th Unabridged and
12th Concise.
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