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 Sixth 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(1) (Transactional Exemption From Registration for Sales by Non-Issuer, Non-Underwriter) [15 USCS § 77d]

§ 1.04 Section 4(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 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 re: Matter of 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 The Greater Wenatchee Regional Events Center Public Facilities District (Nov. 5, 2013)

§ 6.22 State of Illinois (March 11, 2013)

§ 6.23 West Clark Community Schools (July 29, 2013)

§ 6.24 Public Health Trust of Miami-Dade County, Florida (Sept. 13, 2013)

§ 6.25 The City of Harrisburg, Pennsylvania (May 6, 2013)

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)

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

CHAPTER 9 TREATISES AND OTHER SECONDARY RESOURCES ON MUNICIPAL SECURITIES

§ 9.01 2012 Fundamentals of Municipal Bond Law Blue Book

§ 9.02 Amdursky and Gillette's Municipal Debt Finance Law: Theory and Practice

§ 9.03 Disclosure Roles of Counsel in State and Local Government Securities Offerings

§ 9.04 Coffee and Seligman's Securities Regulation: Cases and Materials

§ 9.05 Feldstein and Fabozzi's Handbook of Municipal Bonds

§ 9.06 Fippinger's Securities Laws of Public Finance

§ 9.07 Hazen's Law of Securities Regulation

§ 9.08 Lips' Healthcare Capital Finance: In Good and Challenging Times

§ 9.09 Missal and Phillips' Securities Enforcement Manual

§ 9.10 NABL's Function and Professional Responsibilities of Bond Counsel

§ 9.11 O'Hara's Fundamentals of Municipal Bonds

§ 9.12 Pope's Making Good Disclosure

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