Securities Regulation: Cases and Analysis
This casebook seeks to make both securities markets and securities regulation accessible and manageable, helping students to master the basic principles and structure of securities regulation and enabling them to begin their careers as corporate lawyers with confidence.
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Introduction to the Securities Markets
The Capital Market
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accredited investors alleged antifraud liability audit board of directors broker capital cause of action Commission common stock company's Congress control person corporate defendants disclose disclosure district court duty employees equity exemption fact federal securities laws filed financial statements firm Food Lion free writing funds initial public offering insider trading interest investment contract investors issue KPMG lead plaintiff market price material ment merger million misleading misstatement Nasdaq officers participants period plaintiffs preferred stock private placement profits proposal prospectus provides proxy statement public offering purchase question reasonable registrant's registration statement Regulation Regulation FD resale risk Rule safe harbor Sarbanes-Oxley Act Scenario scienter SEC's secondary market Section Securities Act Securities Exchange securities markets sell seller shareholders shares shelf registration Smartway sold solicitation Sparrow Securities statute statutory stock price stockholders tender offer tion transactions Trendy underwriters violation vote WKSI