Securities Regulation in a Nutshell

Author: Hazen, Thomas Lee
Edition: 12th
Copyright Date: 2021
  • Publication Date: December 14th, 2020
  • ISBN: 9781642423983
  • 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, the Dodd-Frank Act as well as the JOBS Act, including the crowdfunding and expanded Regulation A exemptions.