Securities Regulation: Selected Statutes, Rules and Forms, 2010 Statutory Supplement

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More About This Textbook

Overview

Designed specifically for the Securities Regulation course, this statutory supplement contains all of the relevant statutes, rules, and forms needed — in a remarkably concise and uncluttered format. A highly effective teaching tool, it is the ideal complement to any casebook for Securities Regulation, including but not exclusive to the authors' own Securities Regulation: Cases and Materials, Sixth Edition.

The 2009 Edition features:

  • The Securities Exchange Act Rules:
    • Rules and Forms
    • Rule 10b-21, naked short sales
    • Rule 12h-6, deregistration of foreign issuers
    • Rule 14a-16, Internet Availability of Proxy Materials
    • Rule 14a-17, internet shareholder forums
    • Section 15A(14), the military sales clause
    • Section 15E, regarding credit rating agencies
    • Rule 17g-1 through 17g-6, new credit rating agency regulations
    • SEC amendment to Rule 146(b)(2), adding new subsection (v) referencing "The Nasdaq Capital Market"
    The Investment Advisers Act
    • Section 206(4)-8, hedge fund antifraud rule
  • Regulations S-K, S-X, M, SHO, M-A, AC, FD, and G
  • Securities Act of 1933
    • Rules and Forms
    • SEC Rule 151a, defining the terms "annuity contract" and "optional annuity contract"
  • Rules of Practice and Investigations (Standards of Professional Conduct for Attorneys)
  • Staff Accounting Bulletins
  • Sarbanes-Oxley Act 2002
  • Investment Advisers Act of 1940
  • Advisers Act Rules
  • Investment Company Act of 1940
  • Investment Company Act Rules
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Product Details

  • ISBN-13: 9780735590540
  • Publisher: Wolters Kluwer Law & Business
  • Publication date: 8/13/2010
  • Edition description: Older Edition
  • Pages: 1014
  • Product dimensions: 6.90 (w) x 9.90 (h) x 1.50 (d)

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