The Law of Securities Regulation
Author:
Hazen, Thomas Lee
Edition:
8th
Copyright Date:
2021
6 chapters
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Preliminary Note and Preface 11 results (showing 5 best matches)
- This Hornbook is a one volume version and a substantial abridgement of my seven volume Treatise on the Law of Securities Regulation (Thomson Reuters). This Hornbook is designed for students and as a desk book for lawyers desiring an overview of the law.
- The Hornbook provides an entry into the world of securities regulation. My multi-volume treatise provides significantly more depth, insight, and footnoting of sources. The Hornbook omits many sections of my multi-volume treatise that the reader may want to consult for more indepth analysis or for topics reserved for the multi-volume treatise.
- This Hornbook is designed both for students and attorneys needing an introduction to the securities laws as well as for specialists dealing with these issues on a daily basis who seek more indepth analysis of the law and current developments. This Hornbook, which is now in its seventh edition, is designed to give an overview of the securities laws with the understanding that the space limitations do not permit an indepth treatment of all aspects of federal and state law. The multivolume Practitioner’s Edition has evolved and grown over the thirty years and seven editions that it has been in existence. Over the years various chapters have been expanded and added to reflect the changes in the dynamic field of securities regulation.
- This Hornbook is not merely a broad overview. The hope is to provide a firm understanding of the basics of securities law and adequate guidance as to further sources for the more esoteric aspects of the law of securities regulation.
- In addition to the my multi-volume securities law treatise, secondary sources for more detail on some of the matters dealt with in this Hornbook include: James D. Cox & Thomas Lee Hazen, Hornbook on Business Organization Law (West Academic 5th ed. 2020); Phillip McBride Johnson & Thomas Lee Hazen, Derivatives Regulation (Wolters Kluher, 2004); and Jerry W. Markham & Thomas Lee Hazen, Broker Dealer Operations and Regulation Under Securities and Commodities Law: Financial Responsibilities, Credit Regulation, and Customer Protection (Thomson Reuters, 2d ed. 2002).
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- James D. Cox & Thomas Lee Hazen, Hornbook Business Organization Law § 1. 7[6] (4th ed. 2016).
- Beyond the rules and forms, the SEC engages in a good deal of informal lawmaking, setting forth the views of the Commission or its staff on questions of current concern, without stating them in the form of legal requirements. The principal media for these statements are SEC “Releases” which, as the name implies, are simply statements distributed to the press, to companies and firms registered with the Commission, and to other interested persons. While Releases are also used for the proposal and adoption of rules or to meet other formal notice requirements, they are often used to set forth Commission or staff views through general statements of policy or recitation of the position taken by the Commission in various specific cases. Examples of both types will be found in this book. An overview of the SEC’s lawmaking process is discussed below in section 1.4 of this hornbook. A more detailed analysis of the SEC’s operations is found in chapter 16.
- West Academic Press’s “Securities Regulation: Selected Statutes, Rules and Forms” should meet most lawyers’ needs in studying the materials in this hornbook. For advanced research, the most comprehensive and up-to-date sources for all of the federal securities laws, SEC rules, forms, interpretations and decisions, and court decisions on securities matters are the Westlaw and Lexis federal securities law libraries, and the loose-leaf (and now online) Federal Securities Law Reporter published by Commerce Clearing House (CCH). Copies of the 1933 and 1934 Acts, and of the rules and forms governing the preparation of disclosure documents under those two acts, are also available through the SEC website (
- which spans six hundred pages, is the most comprehensive financial regulation ever adopted by Congress, as measured by the number of activities, and financial institutions that are covered by the Act. Dodd-Frank as it applies to securities regulation is discussed at various points in this hornbook.
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- Publication Date: December 14th, 2020
- ISBN: 9781642424096
- Subject: Securities Regulation
- Series: Hornbooks
- Type: Hornbook Treatises
- Description: This Hornbook is a comprehensive secondary source for the study of Securities Regulation. It also can serve as a lawyer’s desk book. Coverage includes 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, the Investment Company Act and the Investment Advisers Act. This new edition reflects recent SEC rulemaking, including important amendments to exemptions from registration, new broker-dealer obligations, as well as recent Supreme Court and many other case law developments.
