Principles of Securities Regulation
Author:
Hazen, Thomas Lee
Edition:
6th
Copyright Date:
2025
- Publication Date: June 11th, 2025
- ISBN: 9798887868097
- Subject: Securities Regulation
- Series: Concise Hornbook Series
- Type: Hornbook Treatises
- Description: This book includes the most recent developments in securities regulation in an accessible format. Authoritative coverage includes the definition of “security,” registration and disclosure obligations under the Securities Act of 1933, exemptions from registration, reporting obligations under the Securities Exchange Act of 1934, the proxy rules, tender offer regulation, and civil liabilities. The book treats broker-dealer regulation, market regulation, and the administrative role of the SEC, as well as proxy rules, insider trading, and provides overviews of the Investment Company Act and the Investment Advisers Act.
