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Federal Securities Exchange Act of 1934

Comprehensive treatise on the Securities Exchange Act of 1934 and all amendments thereto.
Publisher: Matthew Bender
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ISBN: 9781579118020
Publisher: Matthew Bender
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Book Edition: 127

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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.

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Table of Contents

Chapter 1 THE SECURITIES EXCHANGE ACT OF 1934 AND THE
SEC

§ 1.01 Securities Exchange Act of 1934
§ 1.02 The Securities and Exchange Commission § 1.03 The Work of the SEC in Administering and Enforcing the 1934 Act

Chapter 2 REGULATION OF SECURITIES MARKETS

§ 2.01 Securities Markets: An Overview
§ 2.02 Regulation of Exchanges Securities Associations and Alternative Trading Systems
§ 2.03 Self-Regulation and Commission Oversight
§ 2.04 The National Market System
§ 2.05 Directions of Future Change in the Regulation of Securities Markets
Appendix 2A Specialist Job Description
Appendix 2B Significant Developments in the Evolution of the National Market System
Appendix 2C Regulation NMS Cross-Reference Chart

Chapter 2A REGISTRATION AND REGULATION OF TRANSFER AGENTS AND CLEARING AGENCIES

§ 2A.01 The National System for Clearance and Settlement
§ 2A.02 Registration and Regulation of Transfer Agents
§ 2A.03 Registration and Regulation of Clearing Agencies

Chapter 3 REGULATION OF BROKERS AND DEALERS

§ 3.01 Introduction
§ 3.02 Separation of Broker-Dealer Functions-Sections 11(a) and (b)
§ 3.03 Registration of Brokers and Dealers
§ 3.04 Post-registration Recordkeeping and Reporting Requirements
§ 3.05 The National Association of Securities Dealers (NASD)
§ 3.06 Municipal Securities Brokers or Dealers
§ 3.07 Government Securities Brokers and Dealers
§ 3.08 Protection of Customers’ Assets

Chapter 3A REGULATION OF CREDIT

§ 3A.01 Introduction
§ 3A.02 Controls on Credit
§ 3A.03 Private Remedies for Violation of Margin Requirements

Chapter 4 EXCHANGE ACT REGISTRATION AND REPORTING REQUIREMENTS

§ 4.01 Registration of Securities Under the Securities Exchange Act of 1934
§ 4.02 Periodic Reporting Reqirements
§ 4.03 Integrated Disclosure-Regulation S-K
§ 4.04 Section 21E Statutory Safe Harbor for Forward-Looking Statements
§ 4.05 EDGAR

Chapter 4A THE SEC AND ACCOUNTING STANDARDS

§ 4A.01 General Concepts of Accounting and Financial Statements
§ 4A.02 Sources of Definitive Accounting Rules
§ 4A.03 Generally Accepted Accounting Principles
§ 4A.04 Overview of Specific Accounting Principles and Procedures
§ 4A.05 Global Accounting Standards

Chapter 5 CIVIL LIABILITIES UNDER THE EXCHANGE ACT

§ 5.01 Introduction
§ 5.02 Express Civil Liabilities under the Securities Exchange Act of 1934
§ 5.03 Implied Civil Liabilities under the Exchange Act
§ 5.04 Implied Civil Liabilities under Section 10(b) and Rule 10b-5

Chapter 5A ACCOUNTANTS’ LIABILITY UNDER THE FEDERAL SECURITIES LAWS

§ 5A.01 Introduction
§ 5A.02 Liability for False or Misleading Statements under Section 11 of the Securities Act
§ 5A.03 Liability for False or Misleading Statements under Section 12(2) of the Securities Act
§ 5A.04 Liability for Violations of Section 17(a) of the Securities Act
§ 5A.05 Liability for Violations of Section 14 of the Exchange Act
§ 5A.06 Liability for False or Misleading Statements under Section 18 of the Exchange Act
§ 5A.07 Liability for False or Misleading Statements under Section 10(b) of the Exchange Act
§ 5A.08 Section 10A: New Audit Requirements and Limitation on Auditor Liability
§ 5A.09 Provisions of the Sarbanes-Oxley Act of 2002 Pertaining to the Audit of Public Companies
§ 5A.10 Criminal Liability under the Federal Securities Laws

Chapter 5B ATTORNEY LIABILITY UNDER THE 1934 Act

§ 5B.01 Introduction
§ 5B.02 Attorney Liability Under Section 10(b) of the 1934 Act
§ 5B.03 Attorney Liability Under the Proxy Solicitation Provisions
§ 5B.04 Attorney Liability Under Section 18
§ 5B.05 Attorneys as Controlling Persons
§ 5B.06 Rule 102(e) Proceedings
§ 5B.07 Attorney Liability Under the Sarbanes-Oxley Act of 2002

Chapter 5C BROKER-DEALERS’ LIABILITIES UNDER THE SECURITIES EXCHANGE ACT

§ 5C.01 Introduction
§ 5C.02 Investment Recommendations
§ 5C.03 Churning
§ 5C.04 Excessive Markups
§ 5C.05 Frontrunning
§ 5C.06 Fairness Opinions
§ 5C.07 Private Placements
§ 5C.08 The Chinese Wall
§ 5C.09 Voidness Under Section 29(b)