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Federal Securities Laws of Municipal Bonds Deskbook

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The NABL Library of Publications brings you Federal Securities Laws of Municipal Bonds Deskbook.

Federal Securities Laws of Municipal Bonds Deskbook is an essential guide for all bond lawyers, regulatory staff, in-house counsel for investment banking firms and banks, state and local government attorneys, and other securities professionals. Prepared by members of the National Association of Bond Lawyers, this comprehensive publication delivers all key materials relating to the federal securities laws of municipal bonds in a portable deskbook and companion eBook with expanded content.

The publication contains key sections of the Securities Act of 1933, Securities Exchange Act of 1934, and the Investment Company Act of 1940, as well as select SEC cease-and-desist orders, interpretive and no-action letters, and summaries of important SEC enforcement actions and reports.

The Seventh Edition includes key sections of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Rule 15c2-12, relevant MSRB notices, and SEC and MSRB notices related to EMMA.

To learn more about other NABL products, please visit store.lexisnexis.com/site/nabl

This eBook features links to Lexis Advance for further legal research options.

Table of Contents

CONTENTS

CHAPTER 1 FEDERAL SECURITIES LAWS—33 ACT (SECURITIES ACT OF 1933)
§ 1.01  Section 2(a)(1) (Definition of "Security") [15 USCS § 77b]
§ 1.02  Section 3(a)(2) and Section 3(a)(4) (Municipal Security Exemption; Exemption for Security Issued or Guaranteed by a Bank; Other Exemptions) [15 USCS § 77c]
§ 1.03  Section 4(a)(1) (Transactional Exemption From Registration for Sales by Non-Issuer, Non-Underwriter) [15 USCS § 77d]
§ 1.04  Section 4(a)(2) (Private Placement) [15 USCS § 77d]
§ 1.05  Section 5 (Registration) [15 USCS § 77e]
§ 1.06  Section 11 (Registration Statement Liability) [15 USCS § 77k]
§ 1.07  Section 12 (Prospectus Liability) [15 USCS § 77l]
§ 1.08  Section 17 (Antifraud Provisions) [15 USCS § 77q]
§ 1.09  SEC Rel. No. 33-8185 (Implementation of Standards of Professional Conduct for Attorneys) (Jan. 29, 2003)

CHAPTER 2 FEDERAL SECURITIES LAWS—34 ACT (SECURITIES EXCHANGE ACT OF 1934)
§ 2.01  Section 3(a) (Selected definitions) [15 USCS § 78c]
§ 2.02  Section 10 (Manipulative and Deceptive Devices) [15 USCS § 78j]
§ 2.03  Section 15B (Municipal Securities) [15 USCS § 78o-4]
§ 2.04  Section 15C (Government Securities Brokers and Dealers) [15 USCS § 78o-5]
§ 2.05  Rule 15c2-12 [17 CFR § 240.15c2-12]
§ 2.06  Section 15G (Credit Risk Retention) [15 USCS § 78o-11]

CHAPTER 3 FEDERAL SECURITIES LAWS—40 ACT (INVESTMENT COMPANY ACT OF 1940)
§ 3.01  Section 3(c)(1) (Private Placement Exemption) [15 USCS § 80a-3]
§ 3.02  Rule 2a-7 [17 CFR § 270.2a-7]
§ 3.03  Rule 3a-7 [17 CFR § 270.3a-7]

CHAPTER 4 FEDERAL SECURITIES LAWS—OTHER LAWS
§ 4.01  Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Prohibitions on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds) [12 USCS § 1851]
§ 4.02  Section 976 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Government Accountability Office Study of Increased Disclosure to Investors)
§ 4.03  Section 977 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Government Accountability Office Study on the Municipal Securities Markets)
§ 4.04  Section 978 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Funding for Governmental Accounting Standards Board)
§ 4.05  Section 979 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Commission Office of Municipal Securities)

CHAPTER 5 MUNICIPAL SECURITIES RULEMAKING BOARD RULES AND NOTICES
§ 5.01  Summary of MSRB Rules
§ 5.02  MSRB Notices

CHAPTER 6 SEC ENFORCEMENT ACTIONS
§ 6.01  Orange County, CA (Jan. 24, 1996)
§ 6.02  Maricopa County, AZ (Sept. 30, 1996)
§ 6.03  City of Syracuse, NY (Sept. 30, 1997)
§ 6.04  Allegheny Health, Education, and Research Foundation (AHERF) (June 30, 2000)
§ 6.05  City of Miami, FL (June 22, 2001)
§ 6.06  Massachusetts Turnpike Authority and James J. Kerasiotes (July 31, 2003)
§ 6.07  Neshannock Township School District (Apr. 22, 2004)
§ 6.08  In the matter of Ira Weiss (Apr. 22, 2004)
§ 6.09  Dauphin County General Authority (Apr. 26, 2004)
§ 6.10  Public Finance Consultants, Inc. (Apr. 26, 2004)
§ 6.11  Mount Sinai Medical Center of Florida, Inc., M. Brooks Turkel and Harvey W. Smith (June 7, 2005)
§ 6.12  Utah Educational Savings Plan Trust (Aug. 4, 2005)
§ 6.13  Bear, Stearns & Co., Inc., et al. — Auction Rate Securities (May 31, 2006)
§ 6.14  Dolphin and Bradbury (July 13, 2006)
§ 6.15  City of San Diego, Calif. (Nov. 14, 2006)
§ 6.16  MBIA Inc. (Jan. 29, 2007)
§ 6.17  In re: Snell and Le Croy (May 3, 2007)
§ 6.18  United States of America v. Larry P. Langford, William B. Blount, and Albert W. LaPierre (Dec. 5, 2008)
§ 6.19  State of New Jersey (Aug. 10, 2010)
§ 6.20  City of South Miami, Florida (May 22, 2013)
§ 6.21  SEC v. City of Miami, Florida and Michael Boudreaux (July 19, 2013)
§ 6.22  The Greater Wenatchee Regional Events Center Public Facilities District (Nov. 5, 2013)
§ 6.23  State of Illinois (March 11, 2013)
§ 6.24  The City of Harrisburg, Pennsylvania (May 6, 2013)
§ 6.25  West Clark Community Schools (July 29, 2013)
§ 6.26  City Securities Corporation and Randy G. Ruhl (July 29, 2013)
§ 6.27  Public Health Trust of Miami-Dade County, Florida (Sept. 13, 2013)
§ 6.28  United Neighborhood Organization of Chicago and UNO Charter School Network, Inc. (June 2, 2014)
§ 6.29  City of Harvey, Illinois and Joseph T. Letke (June 24, 2014)
§ 6.30  State of Kansas (Aug. 11, 2014)
§ 6.31  City of Allen Park, Michigan (Nov. 6, 2014)
§ 6.32  Central States Capital Markets, LLC (June 18, 2015)
§ 6.33  Edward D. Jones LP (Aug. 13, 2015)
§ 6.34  Rhode Island Commerce Corporation (Mar. 7, 2016)
§ 6.35  First Southwest Company, LLC (Mar. 7, 2016)
§ 6.36  Westlands Water District, Thomas W. Birmingham, and Louie David Ciapponi (Mar. 9, 2016)
§ 6.37  School Business Consulting, Inc. and Keygent LLC (June 13, 2016)
§ 6.38  SEC v. Rangel (June 21, 2016)
§ 6.39  Town of Ramapo, New York (Apr. 14, 2016)
§ 6.40  Consolo, O'Connor Davies, and Town of Ramapo, New York (Oct. 31, 2016)
§ 6.41  Port Authority of New York and New Jersey (Jan. 10, 2017)
§ 6.42  Municipal Continuing Disclosure Cooperation Initiative

CHAPTER 7 KEY SEC REPORTS
§ 7.01  SEC Final Report on the City of New York (1979)
§ 7.02  SEC Report on Municipal Securities Market Regulation (Sept. 22, 1988)
§ 7.03  Proposed Rule Concerning Municipal Securities Disclosure (Sept. 22, 1988)
§ 7.04  SEC Staff Report Summary (Sept. 1993)
§ 7.05  Orange County Report (Jan. 24, 1996)
§ 7.06  SEC Report on the Municipal Securities Market (July 31, 2012)
§ 7.07  SEC Report on the Definition of "Accredited Investor" (Dec. 18, 2015).

CHAPTER 8 SEC GUIDANCE ON ELECTRONIC DISSEMINATION AND DISCLOSURE
§ 8.01  SEC Rel. No. 33-7856, 34-42728 (Apr. 28, 2000)
§ 8.02  SEC Rel. Nos. 33-8591, 34-52056 (July 19, 2005) — Part VI, Prospectus Delivery Forms ("Access Equals Delivery")
§ 8.03  SEC Rel. No. 34-58288 (August 1, 2008) — Commission Guidance on the Use of Company Websites
§ 8.04  SEC Rel. No. 34-69279 (Apr. 2, 2013) (Use of Social Media)

CHAPTER 9 TREATISES AND OTHER SECONDARY RESOURCES ON MUNICIPAL SECURITIES
§ 9.01  2017 Fundamentals of Municipal Bond Law Blue Book
§ 9.02  Robert S. Amdursky, Clayton P. Gillette and G. Allen Bass, Municipal Debt Finance Law: Theory and Practice (Wolters Kluwer: 2nd ed. 2013)
§ 9.03  Disclosure Roles of Counsel in State and Local Government Securities Offerings (American Bar Association and National Association of Bond Lawyers: 3rd ed., 2009)
§ 9.04  John C. Coffee and Joel Seligman, Securities Regulation: Cases and Materials (12th ed. 2012)
§ 9.05  Sylvan G. Feldstein and Frank J. Fabozzi, eds., The Handbook of Municipal Bonds (John Wiley & Sons, Inc.: 2008)
§ 9.06  Robert A. Fippinger, Securities Laws of Public Finance (Practicing Law Institute:3rd ed., 2011)
§ 9.07  Thomas L. Hazen, The Law of Securities Regulation (West 7th ed.)
§ 9.08  David A. Lips, Healthcare Capital Finance: In Good and Challenging Times (2009)
§ 9.09  Michael J. Missal and Richard M. Phillips, Securities Enforcement Manual (2nd ed., 2007)
§ 9.10  National Association of Bond Lawyers, "The Function and Professional Responsibilities of Bond Counsel" (3rd ed. 2011)
§ 9.11  Neil O'Hara, The Fundamentals of Municipal Bonds (John Wiley & Sons, Inc.: 6th ed. 2011).
§ 9.12  Robert Dean Pope, Making Good Disclosure: The Role and Responsibilities of State and Local Officials Under the Federal Securities Laws (Government Finance Officers Association: 2001)
§ 9.13  Robert Doty, Expanding Municipal Securities Enforcement: Profound Changes for Issuers & Officials (International Municipal Lawyers Association, 2016)

CHAPTER 10 INTERNET RESOURCES ON MUNICIPAL SECURITIES
§ 10.01  Council of Development Finance Agencies (CDFA)
§ 10.02  DAC
§ 10.03  Electronic Municipal Market Access (EMMA)
§ 10.04  Governmental Accounting Standards Board (GASB)
§ 10.05  Government Finance Officers Association (GFOA)
§ 10.06  Investing in Bonds
§ 10.07  Internal Revenue Service (IRS)
§ 10.08  Municipal Securities Rulemaking Board (MRSB)
§ 10.09  MuniNet Guide
§ 10.10  National Association of Bond Lawyers (NABL)
§ 10.11  National Association of Local Housing Finance Agencies (NALHFA)
§ 10.12  National Association of State Auditors, Comptrollers and Treasurers (NASACT)
§ 10.13  National Council of State Housing Agencies (NCSHA)
§ 10.14  National Federation of Municipal Analysts (NFMA)
§ 10.15  Securities and Exchange Commission (SEC)
§ 10.16  Securities and Exchange Commission Historical Society
§ 10.17  Securities Industry and Financial Markets Association (SIFMA)

CHAPTER 11 DISCLOSURE RESOURCES FOR PRIMARY OFFERINGS AND CONTINUING DISCLOSURE
§ 11.01  How to Use Disclosure Resources
§ 11.02  SEC Resources
§ 11.03  NABL Resources
§ 11.04  GFOA Resources
§ 11.05  NFMA Resources
§ 11.06  Other Resources