Securities Regulation in a Nutshell

Securities Regulation in a Nutshell

Author: Hazen, Thomas Lee
Edition: 11th
Copyright Date: 2016
  • Edition: 11th
  • Publication Date: August 2nd, 2016
  • ISBN: 9781683283188
  • Subject: Securities Regulation
  • Series: Nutshells
  • Type: Overviews
  • Description: This title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.