Fundamentals of securities regulation / Louis Loss, Joel Seligman, Troy Paredes.

By: Contributor(s): Material type: TextTextSeries: ; vol. 1Publication details: New York : Wolters Kluwer Law & Business, 2011.Edition: 6th edDescription: 2 v. (xxxviii, 2244 p.) ; 24 cmISBN:
  • 9781454810162 (v. 1)
Other title:
  • Securities regulation
Subject(s): DDC classification:
  • 346.73/0922 23
LOC classification:
  • KF1439 .L68
Contents:
v. 1. Background of the SEC statutes -- Federal regulation of the distribution of securities -- Coverage of the Securities Act of 1933 : definitions and exemptions -- Protective committee reform : the Trust Indenture Act of 1939 and SEC functions under the Bankruptcy Code -- Control concepts under the SEC statutes -- Registration and postregistration provisions of the 1934 act -- Regulation of the securities markets -- Regulation of brokers, dealers, and investment advisers -- Fraud -- Manipulation -- Civil liability -- Government litigation -- SEC administrative law -- Conflict of laws, procedural aspects, and globalization.
v. 2. Regulation of brokers, dealers, and investment advisers -- Fraud -- Manipulation -- Civil liability -- Government litigation -- SEC administrative law -- Conflict of laws, procedural aspects, and globalization.
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Holdings
Item type Current library Call number Status Date due Barcode
General Collection item General Collection item Law School Open Shelves KF1439.L68 2011 (Browse shelf(Opens below)) Available BK0100359
General Collection item General Collection item Law School Open Shelves KF1439.L68 2011 (Browse shelf(Opens below)) Available BK0100362
General Collection item General Collection item Law School Open Shelves KF1439.L68 2011 (Browse shelf(Opens below)) Available BK0100368
General Collection item General Collection item Law School Open Shelves KF1439.L68 2011 (Browse shelf(Opens below)) Available BK0100365

At head of title: Aspen Publishers.

Includes bibliographical references and index.

v. 1. Background of the SEC statutes -- Federal regulation of the distribution of securities -- Coverage of the Securities Act of 1933 : definitions and exemptions -- Protective committee reform : the Trust Indenture Act of 1939 and SEC functions under the Bankruptcy Code -- Control concepts under the SEC statutes -- Registration and postregistration provisions of the 1934 act -- Regulation of the securities markets -- Regulation of brokers, dealers, and investment advisers -- Fraud -- Manipulation -- Civil liability -- Government litigation -- SEC administrative law -- Conflict of laws, procedural aspects, and globalization.

v. 2. Regulation of brokers, dealers, and investment advisers -- Fraud -- Manipulation -- Civil liability -- Government litigation -- SEC administrative law -- Conflict of laws, procedural aspects, and globalization.

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