Bøger af Thomas Lee Hazen

Selections in the book include the text of basic federal securities laws, related Securities and Exchange Commission (SEC) rules and forms, and other selected related laws and regulations. It is designed as a supplement to securities regulation texts used in law school courses, but it can also serve as a reference for professionals.

Includes lifetime digital access to an eBook, with the ability to highlight and take notes, and 12-month access to a digital Learning Library that includes self-assessment quizzes tied to this book, leading study aids, an outline starter, and Gilbert Law Dictionary.

A supplement designed for a basic business organisations course focusing on corporations, limited liability companies, and partnerships. Statutes include up-to-date versions of the Model Business Corporation Act (along with the official comments) as well as the Uniform Partnership and Limited Partnership acts.

Provides an introduction and overview of broker-dealer regulation in the securities markets. The book covers broker-dealer front office and back office issues as well as market regulation generally. It gives an understanding of basic concepts and the underlying regulatory scheme.

Includes the most recent developments in securities regulation. 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, tender offer regulation, and civil liabilities.

Revised to reflect the SEC's the Dodd-Frank and JOBS Acts as well as recent Supreme Court and other case law developments, this Hornbook is totally up to date. It is a comprehensive secondary source for the study of Securities Regulation. Coverage includes definition of "e;security,"e; 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. The up-to-date discussion of market regulation includes discussion of the role of FINRA, the successor to the regulatory arms of the New York Stock Exchange and the National Association of Securities Dealers.

Covers recent developments in the courts and SEC rulemaking, including 1933 Act registration and broker-dealer regulation developments. In addition to the leading cases and SEC developments, the book has been significantly revised for accessibility, and includes explanatory material to guide the student through this complex maze of regulation.