Securities Law Handbook, 2007-2008 ed. (Securities Handbook Series)

Harold S. Bloomenthal

Book - softbound
Copyright: 2007

Last Updated: 11/26/2007

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Meet the challenges of securities practice with this handbook. It provides advice on registration of securities, the plain-English prospectus, underwriting and selling groups, annual and periodic reports, small-company offerings, exempt offerings, the Trust Indenture Act, Rule 144A and the PORTAL Market, shareholder proposals, Blue Sky compliance, securities law violations, EDGAR, the integrated disclosure system, private express remedies, SEC enforcement, practice before the Commission, and professional responsibility.

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Table of Contents (PDF) »

Table of Authorities (PDF) »

Summary Of Contents

Summary of Contents (PDF) »

Volume 1
Chapter
1. Introduction to Securities Regulation
2. What Is a Security?
3. The Integrated Disclosure System
4. Integrated Disclosure for Small Business Issuers
5. The Public Offering Distribution Process
6. The Public Offering Registration Process
7. Public Offerings by Small Companies
8. The Distribution of Municipal Securities
9. Exempt Offerings
10. Resale of Restricted Securities, Rules 144 and 144A, Secondary Distributions, and Trading by Affliates
11. Listing on Trading Markets (SROs) and SRO Regulation
12. Registration and Reporting under the Exchange Act
13. EDGAR
14. Reporting and Short-Swing Profit Liability Under Section 16
15. Corporate Governance and the Federal Securities Laws
16. Regulation of Tender Offers and Going Private Transactions
17. Proxy Regulation
18. Shareholder Proposals
19. Regulation of Broker-Dealers
20. Investment Companies and Investment Advisers
21. Public Company Accounting Oversight Board, SEC, FASB, and Public Accountants
22. Transnational Aspects
23. Regulation of the Penny Stock Market
24. State Securities Registration
Volume 2
1. Introduction to Securities Litigation
2. Private Actions—Express Remedies
3. Private Actions—Implied Remedies (Primarily Rule 10b-5)
4. Safe Harbors for Forward-Looking Statements—The PSLRA, the SEC, and Bespeaks Caution
5. Pleading Securities Fraud and the PSLRA
6. PSLRA—Lead Plaintiff/Counsel; Discovery; Sanctions and Other Class Action Provisions
7. Private Actions—State Remedies and SLUSA
8. Statute of Limitations and Private Actions Under the Securities Acts
9. Insider Trading
10. Fraud on Shareholders
11. Broker-Dealer Litigation and Arbitration
12. SEC Enforcement
13. Venue, Jurisdiction, Damages, Joint Liability/Contribution and Other Litigation Odds and Ends
14. Hostile Takeovers—Defensive Strategies and Wilmington Filers
15. SEC and the Professional
Table of Laws and Rules
Table of Cases

Filing and Shelving Instructions

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	Product Details
	Series: Securities Handbook Series Brand: Clark Boardman Callaghan Components: 2 Print Shelf Space: 4 in. Free Update Period: 90 Days Update Frequency: Replacement Pamphlets-Annually


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