Securities Regulation: Cases and Materials / Edition 6

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Intellectually satisfying and very teachable, Securities Regulation: Cases and Materials, Sixth Edition uses well-crafted and interesting problem exercises to engage students in the theory and applications of securities regulation.

The strengths of this casebook continue to be:

• a balance of practice and doctrine from leading authorities
• a highly flexible organizational structure that adapts to a variety of teaching approaches
• a wealth of interesting problems that present opportunities for students to apply legal concepts and reinforce their understanding
smart, straightforward writing style
timely supplementation by the authors’ own Annual Statutory Supplement and Case Supplement
• outstanding coverage of the 1933 and 1934 Acts

Updated throughout, the revised Sixth Edition offers coverage of:

recent cases on pleading securities fraud following the Supreme Court’s decision in Tellabs
• the D.C. Circuit’s rebuffs to the SEC in their regulation of broker-dealers, investment advisers, and mutual funds
electronic voting and new forms of shareholder communication in proxy regulation
• full integration of the substantial SEC rule changes that affect resales of securities
• significant developments in SEC internal procedures related to enforcement actions
• expanding regulation of the municipal securities markets
• substantial compliance with Reg. D
unincorporated associations as securities

Authored by respected leaders who understand the importance of balancing practice and doctrine, this casebook’s clear writing and modular chapters that make for an excellent classroom experience.

*A Teacher’s Manual may be available for this book. Teacher’s Manuals are a professional courtesy offered to professors only. For more information or to request a copy, please contact Aspen Publishers at 800-950-5259 or

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Product Details

  • ISBN-13: 9780735578050
  • Publisher: Wolters Kluwer Law & Business
  • Publication date: 5/13/2009
  • Edition description: Older Edition
  • Edition number: 6
  • Pages: 1177
  • Product dimensions: 7.70 (w) x 10.20 (h) x 1.80 (d)

Table of Contents

Chapter 1. The Legal and Institutional Framework of Securities Regulation
Chapter 2. The Definition of a Security
Chapter 3. The Public Offering
Chapter 4. Exempt Transactions
Chapter 5. Secondary Distributions
Chapter 6. Recapitalizations, Reorganizations, and Acquisitions
Chapter 7. Exempt Securities
Chapter 8. Liability Under the Securities Act
Chapter 9. Financial Reporting: Mechanisms, Duties, and Culture
Chapter 10. Inquiries into the Materiality of Information
Chapter 11. The Securities Exchange Act of 1934: Markets and Information
Chapter 12. Fraud in Connection with the Purchase or Sale of a Security
Chapter 13. The Enforcement of the Securities Laws
Chapter 14. The Regulation of Insider Trading
Chapter 15. Shareholder Voting and Going-Private Transactions
Chapter 16. Corporate Takeovers
Chapter 17. Regulation of the Securities Markets and Broker-Dealers
Chapter 18. The Investment Advisers and Investment Company Acts of 1940
Chapter 19. Transnational Fraud and the Reach of U.S. Securities Laws

Table of Cases

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