Securities Regulation: Selected Statutes Rules & Forms 2010

Designed 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 2010 Edition features:

• The Securities Exchange Act Rules:
  • Rules and Forms
  • Rule 10b-21, naked short sales
  • Rule 12b-2
  • 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—including Rule 2a-7