United States Securities Law: A Practical Guide, 3rd Edition

Foreword,

The Author,

Acknowledgements,

Introduction

The Framework for US Securities Regulation 

§ 1 Concurrent Federal and State Jurisdiction 

§ 2 Theory of Full Disclosure 

§ 3 Basic Structure of Federal Regulation – 1933 Act and 1934 Act 

§4 Integrated Disclosure System 

§ 5 Other Securities Laws 

§ 6 Additional Federal Regulation 

§ 7 Organization of this Book 

Chapter 1 Public Offerings Section 1 Regulation of Securities Offerings: the 1933 Act Section 2 Registration Procedure Section 3 Publicity Section 4 Special Types of Offerings 

Chapter 2 Offerings Exempt from SEC Registration Section 1 Exemption from Registration Based on Section 2 Exemptions from Registration Based on the Type of Offering Section 3 International Offerings Section 4 Secondary Market Transactions Section 5 Rule 144A Offerings Section 6 Further Considerations in Private and Rule 144A Offerings 

Chapter 3 Special Issues in Public and Private Offerings Section 1 Public vs. Private and Rule 144A Offerings: a Comparison Section 2 Equity Linked Transactions Section 3 Problems of Integration Between Public and Private Offerings Section 4 Problems Posed by the Investment Company Act Section 5 Research Section 6 IPO Practices Section 7 State Securities Laws Section 8 Self-Regulatory Agencies 

Chapter 4 1934 Act Registration and Integrated Disclosure Requirements Section 1 Principles of Registration under the 1934 Act Section 2 Requirements Subsequent to Registration Section 3 Integrated Disclosure Requirements Section 4 Corporate Governance 

Chapter 5 Mergers and Acquisitions Section 1 Pre-Bid Share Acquisitions Section 2 Federal Securities Law Applicable to Tender Section 3 “Going Private” Transactions Section 4 Registration Requirements Section 5 Proxy Solicitations Section 6 Strategies for Foreign – Foreign Bids Section 7 Other Federal Laws Section 8 State Law Applicable to Mergers and Acquisitions Section 9 Acquisition Techniques Section 10 Defensive Techniques for a US Company 

Chapter 6 Market Regulation Section 1 Disclosure Section 2 Insider Trading Section 3 Distribution of Securities Section 4 Other Laws

Chapter 7 Listing and Trading Section 1 Stock Exchanges Section 2 Over-the-Counter Markets Section 3 Clearance and Settlement 

Chapter 8 Market Regulators and Market Participants Section 1 Securities and Exchange Commission Section 2 Other Regulatory Authorities Section 3 Enforcement of Securities Regulations Section 4 Regulation of Broker-Dealers Section 5 Other Market Participants

Chapter 9 Financial Instruments Section 1 Creating Securities Section 2 Form of Securities Section 3 Other Financial Instruments Index