Understanding securities law

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LexisNexis Matthew Bender, 1996 - Business & Economics - 414 pages
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Contents

Cmtrrizn
1
CHAPTER
6
Crmrran
9
INTRoDucTIoN 1 A CHAPTER 2 DEFINITION or A SECURITY
23
IssuER EXEMFHONS FROM REGISTRATION
39
03
42
03
48
THE REcIsTRATIoN PRocEss
89
IssuER ArrIRMATIvE DIscLosuRE OBLIcATIoNs
247
Disclosure of Soft Information
253
Duty to Update
262
INsIDER TRADING
267
Supreme Court DecisionsChiarella and Dirks
270
B Penalties
277
10
281
BRoIERDEALER REcuLATI0N
287

REsALEs AND REoRcANIzATIoNs
119
03
123
Purchasing from an Issuer with a View toward
126
DuE DILIcENcE AND SEcuRmEs Acr LIABILITY
145
Contribution and Indemnification
151
E Accountants
158
04
161
SECTIDN 10b AND RELATED IssuEs
181
CHAPTER 8
188
The Reliance Requirement
194
08
197
ALTERNATIVE REMEDIES
215
CHAPTER 13
219
C Availability of Implied Right of Action
221
03
226
The Racketeer Influenced and Corrupt Organizations
227
SECONDARY LIABILITY
237
Special Concepts of Fraud for BrokerDealers
293
CoRl0RATE CoNTRoL AcQuIsITIoNs AND CONTEsTs
297
B Federal Law
299
C Debate
306
B The ThirdGeneration Statutes
312
Substantive Regulation of Defensive Tactics
318
SEC ENFORCEMENT
325
GLOSSARY
351
SEcuRmEs Acr oE 1933
369
SEcuRITIEs EXCHANGE Acr or 1934
375
SEC RuLEsSEcuRmEs Acr RuLEs
379
TABLE or CAsEs
395
TABLE or STATuTEs RuLEs AND REcuLATIoNs
403
TABLE 0r RELEAsEs
410
INDEX
411
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