01637nam a2200289Ia 4500 303557 OCoLC 20160527184520.0 101111s2011 nyu 001 0 eng c 9781599417455 (pbk. : alk. paper) 1599417456 (pbk. : alk. paper) (OCoLC)680527166 PUCPR cicg KF 1440 .S64 2011 Soderquist, Larry D. 172138 Local Securities law by Larry D. Soderquist, Theresa A. Gabaldon. 4th ed. New York, NY Thomson Reuters/Foundation Press c2011. xiii, 216 p. 24 cm. Concepts and insights series 79228 Local 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. Securities United States. 167355 Local Gabaldon, Theresa A. 1954- 226192 Local Concepts and insights series 222225 222225 0 0 lc 0 KF_1440_000000000000000__S64_2011 0 cil 58408 7 7 4 2016-05-27 West 43.00 482239 0 KF 1440 .S64 2011 70000000890075 2016-05-27 00:00:00 r:303557 6