This law school casebook is devoted to broker-dealer regulation in the securities markets. The book covers SEC and self-regulation of the securities brokerage industry and the securities markets, fraud, manipulation, abusive sales practices, margin regulation, obligations to customers, conflict of interest, and investment advisers. The casebook focuses on regulatory issues as well as civil liabilities of broker-dealers. Designed for use in an advanced course, it includes excerpts from cases and administrative decisions and also from self-regulatory organizations such as the National Association of Securities Dealers (NASD), and also includes materials relating to market regulation generally.

Hazen and Ratner's Broker-Dealer Regulation: Cases and Materials (American Casebook Series)

Hazen, Thomas

Ratner, David

Business

West Academic Publishing

Selected Materials and Statutes on Corporate Finance

Corporate Finance: Selected Materials and Statutes (2004 edition)

Markham, Jerry

Thomson/West

This abridged edition of this law school casebook is suitable for instructors who do not want to mine through a longer book to pare it down for the typical introductory course without losing key cases or key concepts. Like the standard edition it contains explanatory notes, but with less detail than is found in the standard edition, and this abridged edition omits material that is generally more suitable for more advanced corporate and securities courses. It includes unincorporated forms of doing business, federal securities law issues, and specialized treatment of closely held corporations.

Corporations And Other Business Enterprises, Cases And Materials

West Academic

Clear, succinct, descriptions of the reasoning and policy issues underlying corporate law that is accessible to law students with no business or economic background. The 2011 edition is thoroughly updated to include recent Delaware and other leading decisions focused on fiduciary obligations and duties in corporate acquisitions, state and statutory developments affecting corporations including the Dodd-Frank Act of 2010, the changing landscape of securities fraud suits in the federal courts, new discussions of unincorporated forms of business, insightful explanations of such news-making issues as corporate governance and director liabilities, and coverage of LLCs and LLPs.

Business Organizations Law (Hornbooks)

COX,JAMES

Revised to reflect the Securities and Exchange Commission's (SEC) offering reform and recent Supreme Court developments, this Hornbook now is completely up-to-date. Coverage includes 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, 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 Law of Securities Regulation (Hornbooks)

This title will help you acquire an understanding of the basic content and organization of federal and state securities law. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, securities businesses, and investment companies. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Securities and Exchange Commission's 1933 Act offering reform, the new Financial Industry Regulatory Authority, credit rating agencies, and changes to the New York Stock Exchange specialist system.

Securities Regulation: In a Nutshell (Nutshells)

Hazen's Principles of Securities Regulation provides authoritative coverage of the most recent developments in securities regulation in an accessible format. Topics include: The registration process Exemptions Corporate recapitalizations, reorganizations, and mergers Market manipulation Liabilities Securities Exchange Act of 1934 Jurisdictional aspects Broker-dealer regulation and the new Financial Industry Regulatory Authority Regulation of investment companies

Principles of Securities Regulation (Concise Hornbook Series)

This title provides an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues, as well as market regulation generally. It offers an understanding of basic concepts and the underlying regulatory scheme, with explanations of sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).

Broker-Dealer Regulation in a Nutshell (Nutshells)

The abridged edition of this law school casebook is suitable for instructors who do not want to mine through a longer book to pare it down for the typical introductory course without losing key cases or key concepts. Like the standard edition, it contains explanatory notes, but with less detail than is found in the standard edition. It also omits material that is generally more suitable for more advanced corporate and securities courses. It includes unincorporated forms of doing business and covers federal securities law issues and specialized treatment of closely held corporations.

Corporations and Other Business Enterprises, Cases and Materials, 3d, Abridged (American Casebook Series)

This title is a part of our CasebookPlus™ offering as ISBN 9781634601603. Learn more at CasebookPlus.com. In addition to the law of corporations, this edition includes unincorporated forms of doing business such as the now popular limited liability companies, it addresses principles of agency law, federal securities law issues such as insider trading, Sarbanes-Oxley and SEC proxy rules. The casebook contains specialized treatment of closely held corporations and fiduciary requirements imposed by the courts. Coverage also includes the role of corporate lawyers, mergers and acquisitions, and an introduction to corporate finance. The casebook includes references to the Model Business Corporation Act and applicable Delaware corporate law. Suitable for use in advanced courses as well.

Corporations and Other Business Enterprises, Cases and Materials (American Casebook Series)

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