Securities law / by Larry D. Soderquist, Theresa A. Gabaldon.
Material type:
TextPublication details: New York, N.Y. : Foundation Press ; [St. Paul, Minn.] : Thomson/West, 2007.Edition: 3rd edDescription: xiii, 213 p. ; 24 cmISBN: - 9781599412030 (pbk. : alk. paper)
- 1599412039 (pbk. : alk. paper)
- KF1440 .So2
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| KF1355 .M28 Law, business, and society / | KF1355 .M28 Law, business, and society / | KF1355 .M28 Law, business, and society / | KF1440 .So2 Securities law / | KF1446 .L39 What is Sarbanes-Oxley? / | KF1446 .L39 What is Sarbanes-Oxley? / | KF1446 .L39 What is Sarbanes-Oxley? / |
Includes index.
What is a security --
World of securities law --
Business context of securities law --
What can be done during securities act registration --
How securities are registered under the securities act --
Exemptions from the registration requirements --
Resales by security holders --
Liability for violation of the securities act --
Commission's general exemptive authority and registration and reporting under the exchange act --
Proxy regulation --
Tender offers --
Fraud and related issues under rule 10b-5 and the Sarbanes-Oxley act --
Liability for trading profits under section 16(b) and the Sarbanes-Oxley act --
Exchange act regulation of the securities business --
International aspects of securities law.
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