Securities Regulation: Examples and Explanations

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Aspen Publishers Online, 2008 - Law - 584 pages
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Bringing transparency to a sometimes opaque subject, Alan R. Palmiter uses straightforward introductions And The proven-effective Examples & Explanations pedagogy to provide a clear and complete overview of federal securities regulation topics. Now in its Fourth Edition, this trusted Examples & Explanations title supplies: coverage of the key concepts of securities regulation, including: public offerings exemptions from registration liability in securities offerings materiality securities fraud, insider trading, SEC enforcement, and cross-border regulation the proven-effective Examples & Explanations pedagogy that combines straightforward introductions with well-written examples and explanations that apply concepts, reinforce learning, and test understanding of material covered a building-block organization that explains basic concepts first (such as securities markets, federal/state regulation, disclosure philosophy), then explores these concepts in greater detail examples drawn from newsworthy events, such as: public offerings by Google and Microsoft the roles of lawyers and accountants in Enron insider trading by Martha Stewart fraud litigation involving Parmalat coverage that traces the topics in most of the leading casebooks Updated throughout and with many new examples, The Fourth Edition features: recent Supreme Court rulings: Tellabs v. Makor Issues & Rights Merrill Lynch v. Dabit Dura Pharm. v. Broudo updated new SEC rules, including the public offering rules additional charts and diagrams Edition after edition, Alan R. Palmiter is the authority your students can rely on to present a clear and current picture of the entire Securities Regulation landscape. an author website to support classroom instruction using this title is available at www.wfu.edu/~palmitar/Books/SRegE&E .
 

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Contents

Introduction to Securities Markets
1
Definition of Security
41
Materiality
73
Registration of Securities Offerings
105
Examples and Explanations
162
Exemptions from Securities Act Registration
183
Securities Act Liability
229
Secondary and Other Postoffering
275
Organizations Act Private RICO
391
Insider Trading
409
Regulation of Securities Industry
455
Public Enforcement
489
Injunctions
500
U S Regulation of CrossBorder Securities
527
Table of Cases
569
Index
575

Securities Exchange Act of 1934
307
Rule 10b5
353

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About the author (2008)

Palmiter is Professor of Law at the Wake Forest University.

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