Securities Regulation: Cases and Materials, Fifth Edition / Edition 5

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Both students and instructors will welcome Securites Regulation: Cases and Materials, Fifth Edition, the problem-oriented casebook that offers comprehensive coverage in an extremely flexible structure.

The casebook earned its position as the top seller in the field through:

  • the skills of its nationally known authors, who balance practice and doctrine in a challenging yet highly teachable book
  • providing maximum flexibility for instructors, with modular chapters and an easily adaptable organization
  • well-written, interesting problems that expose students to theory and the practical issues that impact investors and allow instructors to choose the problems they prefer, leaving control of the content in the instructor's hands
  • readable, straightforward writing
  • excellent coverage of the 1934 and 1935 Acts, widely recognized as the best in the field

Thoroughly revised for its Fifth Edition, the casebook now:

  • covers the new Offering Rules, the sweeping reforms for the public offering of securities adopted by the SEC in June 2005, which are fully integrated into the text and problems. The intricate and complex rules are presented clearly and concisely, and are accompanied by an extensive set of problems that walk students through their operation and interaction with one another.
  • includes the recent Dura Pharmaceuticals decision
  • examines the recent developments regarding forward looking statements and the significant Supreme Court decision, Asher v. Baxter Int'l., Inc. to illustrate the operation of the statutory safe harbor
  • updated Teacher's Manual

An author website to support classroom instruction using this title is available at

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Product Details

  • ISBN-13: 9780735559608
  • Publisher: Wolters Kluwer Law & Business
  • Publication date: 3/28/2006
  • Edition description: Older Edition
  • Edition number: 5
  • Pages: 1187
  • Product dimensions: 7.30 (w) x 10.20 (h) x 1.80 (d)

Table of Contents

Ch. 1 The framework of securities regulation 1
Ch. 2 The definition of a security 19
Ch. 3 Markets and their efficiency 95
Ch. 4 The public offering 117
Ch. 5 Exempt transactions 259
Ch. 6 Secondary distributions 345
Ch. 7 Recapitalizations, reorganizations, and acquisitions 395
Ch. 8 Exempt securities 431
Ch. 9 Liability under the securities act 481
Ch. 10 Financial reporting : mechanisms, duties, and culture 545
Ch. 11 Inquiries into the materiality of information 579
Ch. 12 Fraud in connection with the purchase or sale of a security 653
Ch. 13 The enforcement of the securities laws 745
Ch. 14 The regulation of insider trading 879
Ch. 15 Shareholder voting and going-private transactions 935
Ch. 16 Corporate takeovers 967
Ch. 17 Regulation of the securities markets and broker-dealers 1009
Ch. 18 The investment advisers and investment company acts of 1940 1079
Ch. 19 Transnational fraud and the reach of U.S. securities laws 1131
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