Soderquist, Larry D. creator Gabaldon, Theresa A. 1954- text nyu New York, NY Thomson Reuters/Foundation Press c2011 2011 4th ed. monographic eng

print

xiii, 216 p. 24 cm. 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. by Larry D. Soderquist, Theresa A. Gabaldon. Includes index. Securities United States KF 1440 .S64 2011 9781599417455 (pbk. : alk. paper) 1599417456 (pbk. : alk. paper) PUCPR 101111 20160527184520.0 303557