Federal Securities Exchange Act of 1934

Comprehensive treatise on the Securities Exchange Act of 1934 and all amendments thereto.

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ISBN: 9780820516196
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ISBN: 9781579118020
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Comprehensive treatise on the Securities Exchange Act of 1934.

•   The organization of the SEC
•   1934 Act registration and reporting requirements, Integrated Disclosure, proxy rules and proxy contests, insider trading and short-swing trading
•   Registration and regulation of securities markets, broker-dealers, transfer agents, clearing agencies
•   SEC enforcement actions, private civil liabilities

This set is an ideal companion to a related treatise the Federal Securities Act of 1933 (2 volumes), and our Securities Primary Law Sourcebook (5 volumes), which contains essential primary source related to both the Securities Act of 1933 and the Securities Exchange Act of 1934, materials under the Securities Investor Protection Act and the Trust Indenture Act, SEC and NASD Rules, and selected recent SEC Releases.

First published in 1971.

2 Volumes; updated with revisions.

View Chapter Excerpt: Featured Federal Securities Law Publications

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Table of contents

Chapter 1 The Securities Exchange Act of 1934 and the Securities and Exchange Commission
Chapter 2 Regulation of Securities Markets
Chapter 2A Registration and Regulation of Clearing Agencies and Transfer Agents
Chapter 3 Regulation of Brokers and Dealers
Chapter 3A Regulation of Credit
Chapter 4 Exchange Act Registration and Reporting Requirements
Chapter 4A Accounting for Lawyers
Chapter 5 Civil Liabilities under the Exchange Act
Chapter 5A Accountants’ Liability under the Federal Securities Laws
Chapter 5B Attorney Liability under the 1934 Act
Chapter 6 Regulation of Market Manipulation
Chapter 7 Proxy Regulation
Chapter 7A The Williams Act Amendments Controlling Shareholders and Tender Offers
Chapter 8 Insider Reporting and Short-Swing Trading
Chapter 9 SEC Enforcement - Legal Considerations
Chapter 10 Private RICO Litigation