Fundamentals of Securities Regulation, Sixth Edition

Fundamentals of Securities Regulation, Sixth Edition gives you quick access to the law of securities regulation as derived from the eleven-volume, landmark treatise Securities Regulation. This consolidated, two-volume set distills the essence of Loss, Seligman, and Paredes’ master work into a 2,300-page authoritative resource that reviews and analyzes the most significant aspects of securities regulation.

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Fundamentals of Securities Regulation, Sixth Edition details the rules and regulations affecting the securities market, providing comprehensive coverage and plain-English explanations in a two-volume set. And, through annual supplementation, you’ll keep pace with the ever-increasing volume of litigation, and receive up-to-date examinations of recent regulatory developments and court cases.

Benefit from current coverage of:

• The Dodd-Frank Wall Street Reform and Consumer Protection Act
• The establishment of the new Financial Stability Oversight Council
• Adoption of a modified version of the Volcker Rule
• Authorization of the SEC to regulate investment advisers to hedge fund and other private fund advisers
• Authorization of the SEC to require that issuer proxy solicitations include shareholder nominees
• Case developments including Erica P. John Fund v. Halliburton Co . and Business Roundtable v. SEC
• And more!

VOLUME 1

CHAPTER 1. BACKGROUND OF THE SEC STATUTES

• A. Of Bubbles and Giants
• B. State Regulation of Securities
• C. The Battle of the Philosophies
• D. A Telescopic Preview of the SEC Statutes
• E. The Federal Securities Code F. The Securities and Exchange Commission

CHAPTER 2. FEDERAL REGULATION OF THE DISTRIBUTION OF SECURITIES

• A. Distribution Techniques
• B. The Basic Prohibitions of §5
• C. The Registration Procedure
• D. Contents of the Registration Statement and Prospectus (the SEC’s Accounting Role)
• E. International Offerings

CHAPTER 3. COVERAGE OF THE SECURITIES ACT OF 1933: DEFINITIONS AND EXEMPTIONS

• A. Definitions
• B. Exempted Securities
• C. Exempted Transactions
• D. Resales of Control and Restricted Securities

CHAPTER 4. PROTECTIVE COMMITTEE REFORM: THE TRUST INDENTURE ACT OF 1939 AND SEC FUNCTIONS UNDER THE BANKRUPTCY CODE

• A. The Trust Indenture Act
• B. The SEC’s Functions in Bankruptcy Proceedings

CHAPTER 5. CONTROL CONCEPTS UNDER THE SEC STATUTES

• A. The Statutory Contexts
• B. Determinants of Control

CHAPTER 6. REGISTRATION AND POSTREGISTRATION PROVISIONS OF THE 1934 ACT

• A. Registration
• B. Reporting Requirements
• C. Proxies
• D. Tender Offers
• E. Insider Trading
• F. Sarbanes-Oxley Act Amendments

CHAPTER 7. REGULATION OF THE SECURITIES MARKETS

• A. Structure of the Securities Markets
• B. Securities Exchanges
• C. Securities Associations
• D. Brokerage Commission Rate Regulation

VOLUME 2

CHAPTER 8. REGULATION OF BROKERS, DEALERS, AND INVESTMENT ADVISERS

• A. Broker-Dealer Registration
• B. Broker-Dealer Substantive Regulation
• C. Investment Advisers

CHAPTER 9. FRAUD

• A. Common Law and SEC Fraud
• B. Issuers and Insiders
• C. Brokers and Dealers
• D. Fraud by Investment Advisers
• E. Use of the Mails or Interstate Facilities

CHAPTER 10. MANIPULATION

• A. A Classic Portrait of Market Manipulation
• B. Manipulation before the SEC
• C. Manipulation of the Securities Exchanges under the SEC Statutes
• D. Manipulation of the Over-the-Counter Market under the SEC Statutes
• E. Stabilization
• F. Resale Price Maintenance

CHAPTER 11. CIVIL LIABILITY

• A. Common Law and Equity
• B. Blue Sky Laws and the Securities Litigation Uniform Standards Act of 1998
• C. SEC Statutes
• D. General Provisions

CHAPTER 12. GOVERNMENT LITIGATION

• A. Injunction
• B. Criminal Prosecution
• C. Judicial Review of SEC Orders
• D. Res Judicata and Collateral Estoppel
• E. The Commission as Amicus Curiae

CHAPTER 13. SEC ADMINISTRATIVE LAW

• A. Securities Lawyers
• B. Investigation
• C. QuasijudicialProceedings
• D. Statutory Remedies
• E. Rulemaking
• F. Confidential Treatment

CHAPTER 14. CONFLICT OF LAWS, PROCEDURAL ASPECTS, AND GLOBALIZATION

• A. Jurisdiction and Venue
• B. Interstate Choice of Law
• C. International Aspects

Table of Cases

Table of No-Action and Interpretive Letters

Table of SEC Releases

Table of Statutory Citations

Table of Rule Citations

Table of Item Citations

Table of Form Citations

Index