2009 Securities Regulation: Selected Statutes, Rules, and FormsDesigned specifically for the Securities Regulation course, this statutory supplement contains all of the relevant statutes, rules, and forms needed -- in a remarkably concise and uncluttered format. A highly effective teaching tool, it is the ideal complement to any casebook for Securities Regulation, including but not exclusive to the authors' own Securities Regulation: Cases and Materials, Sixth Edition. The 2009 Edition features: The Securities Exchange Act Rules: Rules and Forms Rule 10b-21, naked short sales Rule 12h-6, deregistration of foreign issuers Rule 14a-16, Internet Availability of Proxy Materials Rule 14a-17, internet shareholder forums Section 15A(14), the military sales clause Section 15E, regarding credit rating agencies Rule 17g-1 through 17g-6, new credit rating agency regulations SEC amendment to Rule 146(b)(2), adding new subsection (v) referencing The Nasdaq Capital Market The Investment Advisers Act Section 206(4)-8, hedge fund antifraud rule Regulations S-K, S-X, M, SHO, M-A, AC, FD, and G Securities Act of 1933 Rules and Forms SEC Rule 151a, defining the terms annuity contract and optional annuity contract Rules of Practice and Investigations (Standards of Professional Conduct for Attorneys) Staff Accounting Bulletins Sarbanes-Oxley Act 2002 Investment Advisers Act of 1940 Advisers Act Rules Investment Company Act of 1940 Investment Company Act Rules |
Contents
SECURITIES ACT OF 1933 | 1 |
Rule Subject | 44 |
Exemption of shares offered in connection with certain transactions 238 Exemption for standarized options | 102 |
Copyright | |
30 other sections not shown
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Common terms and phrases
accredited investor affiliate aggregate amendment American Depositary Receipts amount applicable asset-backed securities assets audit behalf beneficial owner broker or dealer chapter class of securities Commission copy credit rating deemed derivative security director disclosed disclosure document effective employee equity securities executive officer exemption financial statements fiscal foreign private issuer Form 8-K Fund Gramm-Leach-Bliley Act incorporated by reference information required interest Investment Company Act issued means ment municipal securities national securities exchange nationally recognized statistical notice offering statement options participant penny stock period person principal prior protection of investors proxy statement purchase purposes pursuant to paragraph pursuant to Rule pursuant to section quotation recognized statistical rating registrant's registration statement Regulation S-K required by Item respect Schedule Schedule 13D section 13 Securities Act Securities Exchange Act security holders sold solicitation statistical rating organization subject company subsidiaries tender offer term thereof tion transaction underwriter