Search results for ""author thomas lee hazen""

This edition covers recent developments in the courts and SEC rulemaking, including 1933 Act registration and broker-dealer regulation developments such as FINRA. In addition to the leading cases and SEC developments, the casebook includes explanatory material to guide the student through this complex maze of regulation. The Ninth Edition enables instructors to easily omit or rearrange material. The problem and documentary supplement, available as a casebook companion, is designed for teachers using the problem method. It contains sample documents including 1933 Act registration and back-up documents.

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This Hornbook is a comprehensive secondary source for the study of Securities Regulation. It also can serve as a lawyer's desk book. Coverage includes definition of "security," registration and disclosure obligations under the Securities Act of 1933, exemptions from registration, reporting obligations under the Securities Exchange Act of 1934, the proxy rules, tender offer regulation, and civil liabilities. The book treats broker-dealer regulation, market regulation, and the administrative role of the SEC, as well as proxy rules, insider trading, the Investment Company Act and the Investment Advisers Act. This new edition reflects recent SEC rulemaking, including important amendments to exemptions from registration, new broker-dealer obligations, as well as recent Supreme Court and many other case law developments.

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New book purchase includes complimentary digital access to the eBook.Selections in the book include the text of basic federal securities laws, related Securities and Exchange Commission (SEC) rules and forms, and other selected related laws and regulations. It is designed as a supplement to securities regulation texts used in law school courses, but it can also serve as a reference for lawyers, securities professionals, and corporate officers. The booklet contains changes made through November 2021.

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