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Fundamentals of Securities Regulation, 8th Edition (1-year Online Subscription)

Fundamentals of Securities Regulation, 8th Edition (1-year Online Subscription)

Name: Fundamentals of Securities Regulation, 8th Edition (1-year Online Subscription)
Brand: Wolters Kluwer Legal & Regulatory U.S. (Online)
SKU: 10071678
Availability: InStock
Author: Louis Loss; Joel Seligman; Troy A. Paredes
ISBN: 10071678

Edited by Louis Loss · Joel Seligman · Troy A. Paredes

Wolters Kluwer Legal & Regulatory U.S. (Online)

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ISBN-13: 10071678
Publisher: Wolters Kluwer Legal & Regulatory U.S. (Online)
Format: Online
Jurisdiction: U.S. ? Countri(es) for reference only

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undamentals of Securities Regulation, Eighth Edition gives you quick access to the law of securities regulation as derived from the eleven-volume, landmark treatise Securities Regulation. This consolidated, two-volume set distills the essence of Loss, Seligman, and Paredes’ master work into a 2,400-page authoritative resource that reviews and analyzes the most significant aspects of securities regulation.

Get the quick answers you need...when you need them.

Fundamentals of Securities Regulation, Eighth Edition details the rules and regulations affecting the securities market, providing comprehensive coverage and plain-English explanations in a two-volume set. And, through annual supplementation, you’ll keep pace with the ever-increasing volume of litigation, and receive up-to-date examinations of recent regulatory developments and court cases.

Benefit from current coverage of:

Congressional enactment of the Economic Growth, Regulatory Relief and Consumer Protection Act
The Dodd-Frank Wall Street Reform and Consumer Protection Act
The establishment of the Financial Stability Oversight Council
Authorization of the SEC to regulate investment advisers to hedge fund and other private fund advisers
Authorization of the SEC to require that issuer proxy solicitations include shareholder nominees
Case developments including United States v. Newman and SEC v. Lucia
And more!

VOLUME 1

CHAPTER 1. BACKGROUND OF THE SEC STATUTES

A. Of Bubbles, Giants and Reversions
B. State Regulation of Securities
C. The Battle of the Philosophies
D. A Telescopic Preview of the SEC Statutes
E. The Federal Securities Code
F. The Securities and Exchange Commission

CHAPTER 2. FEDERAL REGULATION OF THE DISTRIBUTION OF SECURITIES

A. Distribution Techniques
B. The Basic Prohibitions of §5
C. The Registration Procedure
D. Contents of the Registration Statement and Prospectus (the SEC’s Accounting Role)
E. International Offerings

CHAPTER 3. COVERAGE OF THE SECURITIES ACT OF 1933: DEFINITIONS AND EXEMPTIONS

A. Definitions
B. Exempted Securities
C. Exempted Transactions
D. Resales of Control and Restricted Securities

CHAPTER 4. PROTECTIVE COMMITTEE REFORM: THE TRUST INDENTURE ACT OF 1939 AND SEC FUNCTIONS UNDER THE BANKRUPTCY CODE

A. The Trust Indenture Act
B. The SEC’s Functions in Bankruptcy Proceedings

CHAPTER 5. CONTROL CONCEPTS UNDER THE SEC STATUTES

A. The Statutory Contexts
B. Determinants of Control

CHAPTER 6. REGISTRATION AND POSTREGISTRATION PROVISIONS OF THE 1934 ACT

A. Registration
B. Reporting Requirements
C. Proxies
D. Tender Offers
E. Insider Trading
F. Sarbanes-Oxley Act Amendments

CHAPTER 7. REGULATION OF THE SECURITIES MARKETS

A. Structure of the Securities Markets
B. Securities Exchanges
C. Securities Associations
D. Brokerage Commission Rate Regulation
Clearance and Settlement

VOLUME 2

CHAPTER 8. REGULATION OF BROKERS, DEALERS, AND INVESTMENT ADVISERS

A. Broker-Dealer Registration
B. Broker-Dealer Substantive Regulation
C. Investment Advisers

CHAPTER 9. FRAUD

A. Common Law and SEC Fraud
B. Issuers and Insiders
C. Brokers and Dealers
D. Fraud by Investment Advisers
E. Use of the Mails or Interstate Facilities

CHAPTER 10. MANIPULATION

A. A Classic Portrait of Market Manipulation
B. Manipulation before the SEC
C. Manipulation of the Securities Exchanges under the SEC Statutes
D. Manipulation of the Over-the-Counter Market under the SEC Statutes
E. Stabilization
F. Resale Price Maintenance

CHAPTER 11. CIVIL LIABILITY

A. Common Law and Equity
B. Blue Sky Laws and the Securities Litigation Uniform Standards Act of 1998
C. SEC Statutes
D. General Provisions

CHAPTER 12. GOVERNMENT LITIGATION

A. Injunction
B. Criminal Prosecution
C. Judicial Review of SEC Orders
D. Res Judicata and Collateral Estoppel
E. The Commission as Amicus Curiae

CHAPTER 13. SEC ADMINISTRATIVE LAW

A. Securities Lawyers
B. Investigation
C. Quasijudicial Proceedings
D. Statutory Remedies
E. Rulemaking
F. Confidential Treatment

CHAPTER 14. CONFLICT OF LAWS, PROCEDURAL ASPECTS, AND GLOBALIZATION

A. Jurisdiction and Venue
B. Interstate Choice of Law
C. International Aspects

Table of Cases

Table of No-Action and Interpretive Letters

Table of SEC Releases

Table of Statutory Citations

Table of Rule Citations

Table of Item Citations

Table of Form Citations

Index

About the Author

Joel Seligman

J.D.; B.A.

Joel Seligman is a leading expert on securities law. From 2005 to 2018 he served as president of the University of Rochester. Under his leadership, the University implemented a comprehensive strategic plan that included the largest capital campaign in University history, which made possible the creation of over 100 new endowed professorships, substantial progress in the size, diversity, and excellence of University students and programs, and nearly doubling the number of employees at the University.

Mr. Seligman came to Rochester from the Washington University School of Law, where he was dean and Ethan A. H. Shepley University Professor from 1999 to 2005. He had previously been dean and Samuel M. Fegtly Professor of Law at the University of Arizona, and had served on the law faculties at Michigan, George Washington, and Northeastern.

Mr. Seligman coauthored, with the late Louis Loss and with Troy Paredes, the 11-volume Securities Regulation, and is author of The Transformation of Wall Street: A History of the Securities and Exchange Commission and Modern Corporate Finance. He also is the author or coauthor of 20 books and more than 40 articles on issues related to securities and corporations.

Mr. Seligman served on the board of the Financial Industry Regulatory Authority from 2007 to 2015. From 2011 to 2016 served as co-chair of the Finger Lakes Regional Economic Development Council. He is a member of the American Academy of Arts and Sciences. Mr. Seligman currently is a University Professor at the University of Rochester and Dean Emeritus and Professor at Washington University.

Troy A. Paredes

J.D.; B.A.

Troy A. Paredes is the founder of Paredes Strategies LLC. From 2008-2013, Paredes was a Commissioner of the U.S. Securities and Exchange Commission, having been appointed by President George W. Bush. At the SEC, Paredes was a strong advocate for small business, the promotion of capital formation, solving the information overload problem of securities law disclosure, and rigorous cost-benefit analysis. Since leaving government, Paredes has had an active consulting practice. Paredes advises on financial regulation, corporate governance, compliance, and regulatory strategy. He also serves as an expert and advisor in regulatory enforcement investigations and in private litigation involving securities law and corporate law, and he has been an independent compliance consultant/monitor. Before becoming an SEC Commissioner, Paredes was a professor of law at Washington University in St. Louis and a professor of business (by courtesy) at Washington University’s Olin Business School, joining the faculty after having worked as a corporate lawyer. Paredes is the author of numerous academic articles on financial regulation, corporate governance, innovation, and behavioral economics. He is a co-author (beginning with the 4th edition) of a multi-volume securities regulation treatise with Louis Loss and Joel Seligman entitled Securities Regulation. In addition to his writing, Paredes co-hosts a podcast on fintech called “Appetite for Destruction." Paredes holds a bachelor’s degree in economics from UC Berkeley and earned his J.D. from Yale Law School.

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