3 edition of Fundamentals of securities regulation found in the catalog.
Kept up to date by supplements.Includes bibliographical references and index.
|The Physical Object|
|Pagination||xvi, 82 p. :|
|Number of Pages||51|
nodata File Size: 2MB.
A single volume version is also available, and can be ordered. Those of you searching for the law are well advised to start by reading a treatise on the subject, rather than the statutes themselves, since the statues are only the start of the climb into the Fundamentals of securities regulation laws. In order to read online Fundamentals Of Securities Regulation textbook, you need to create a FREE account. Rule 10b-5, and Section 10b are known as the Anti-Fraud provisions of the 34 Act, and most regulations flow from this rule.
Fundamentals Of Securities Regulation Download Fundamentals Of Securities Regulation Book For Free in PDF, EPUB. Common Law and the Securities Markets In addition to the varied securities rules and regulations enacted by statute, there is a large body of case law, decisions by judges, which impact severly on the securities industry.
If you have a securities law question, call 212-509-6544 Introduction The history of the securities regulation and federal securities law are well beyond the scope of this work, and the reader is commended to any one of a number of books in the area.
For those brave souls Fundamentals of securities regulation wish to jump right into it, the regulations under each Act are on the Web, at the Center for Corporate Law, which has the text of the rules promulgated under the Securities Act of 1933 as well as the text of the forms promulgated under the Securities Act of 1933.
Briefly, there is the concept of common law fraud, and in theory, if perchance a particular act did not fall within the scope of the federal securities laws, the actor may still be subject to a fraud claim under the common law. Do Not Submit Confidential Information Your Name required Your Email required Subject Your Question or Comment Submitting this form does not create an attorney client communication, and this communication is not confidential.
The rule has been the subject of extensive litigation, and later revisions to this article will address some of the significant aspects of those matters, including insider trading, market manipulation, fraud in connection with public offerings and takeovers, and fraud in connection with dealings with customers.
Nothing on this site should be taken as legal advice for any individual case or situation.
As stated elsewhere, be sure to consult an attorney before relying on those rules, and the text, and the interpretations of those rules are in a constant state of flux. The two main statutes involved in the Federal Securities laws are the The Securities Act of 1933 and the The Securities Exchange Act of 1934. The Rule is the most often used Rule in the area of securities law, and most every securities fraud case involves, in one way or another, Rule 10b-5.
and the various stock exchanges. Loss and Seligman have distilled their authoritative 11-volume treatise, SECURITIES REGULATION, into one convenient volume, offering expert analysis of every significant aspect of securities law, including: Primary liability under 10 binsider trading Sanctions Disclosure requirements Rules and forms for offerings SEC reporting Forward-looking statements Class action suits Bespeaks caution cases ADR in securities disputes and more.
Most states have left the anti-fraud regulations to the Fundamentals of securities regulation and the various SROs, but do in fact have the power and authority to bring actions against securities violators pursuant to state law.
Additionally, the common law notions of contract and negligence also find their way into the securities laws, for each purchase and sale of a security is in reality a contract, and each transaction between market participants, whether in the financing of an IPO, or in the customary stock purchase with a broker, can involve issues of negligence law.
His single volume version, is an excellent resource for the layman, as well as for the attorney who does not practice securities law every day.
Fundamentals Of Securities Regulation Download Fundamentals Of Securities Regulation Book For Free in PDF, EPUB.