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Practice Under the California Securities Laws

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Print Book :3 volumes loose-leaf updated with supplements and revisions
ISBN: 9780820515526
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ISBN: 9781579117597
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Practice Under the California Securities Laws, first published in 1977, provides detailed coverage of all aspects of the California Securities laws, includes full text of all California laws, regulations, and releases. Thorough coverage and insightful analysis of practice in this complex area cover the following key topics:
• Expediting matters pending before the Department of Corporations
• Qualification and exemption of securities and securities transactions under the Corporate Securities Law
• Regulations governing real estate syndicates
• Registration requirements under the Franchise Investment Law
• Text of the Corporate Securities Law of 1968
• Text of the Franchise Investment Law
• Text of the Regulations and Releases of the Commissioner of Corporations
• Digests of opinions of the Department of Corporations under the Corporate Securities and Franchise Investment Law

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Table of Contents

Volume 1 Table of Contents

A COMPLETE SYNOPSIS FOR EACH CHAPTER APPEARS AT THE BEGINNING OF THE CHAPTER


CHAPTER 1 HISTORY OF CALIFORNIA CORPORATE SECURITIES LAW


CHAPTER 2 ORGANIZATION AND ADMINISTRATION OF THE
DEPARTMENT OF CORPORATIONS

CHAPTER 3 OFFERS AND NEGOTIATIONS


CHAPTER 3A FEDERAL PREEMPTION OF STATE SECURITIES
REGULATION


CHAPTER 4 GENERAL EXEMPTIONS FROM QUALIFICATION


CHAPTER 5 PROBLEMS RELATING TO SPECIAL TYPES OF ISSUERS
AND SECURITIES


CHAPTER 6 PROCEDURE FOR QUALIFICATION OF ISSUER
TRANSACTIONS

CHAPTER 7 RECAPITALIZATIONS AND REORGANIZATIONS

CHAPTER 8 STANDARDS FOR THE EXERCISE OF THE
COMMISSIONER�S DISCRETION


CHAPTER 9 CONDITIONS OF QUALIFICATION


CHAPTER 10 NONISSUER TRANSACTION

CHAPTER 11 TRANSFER OF SECURITIES SUBJECT TO LEGEND OR
ESCROW CONDITION

CHAPTER 12 ADVERTISING SECURITIES

CHAPTER 13 REGULATION OF AGENTS, BROKER-DEALERS, AND
INVESTMENT ADVISERS

CHAPTER 14 CIVIL LIABILITIES


CHAPTER 15-30 [RESERVED]


CHAPTER 31 REGULATION OF REAL ESTATE SYNDICATES BY THE
CORPORATIONS COMMISSIONER

CHAPTER 32-39 [RESERVED]


CHAPTER 40 REGISTRATION OF FRANCHISES UNDER THE CALIFORNIA
FRANCHISE INVESTMENT LAW


Volume 2 Table of Contents

APPENDIX A-I THE CALIFORNIA CORPORATE SECURITIES LAW OF 1968 AND
RULES THEREUNDER, ANNOTATED

Part 1 Definitions

Part 2 Qualification of the Sale of Securities

Part 3 Regulation of Agents, Broker-Dealers and Investment Advisers

Part 4 Advertising Securities

Part 5 Fraudulent and Prohibited Practices

Part 6 Enforcement

Part 7 Administration

Part 8 General Provisions

Volume 3 Table of Contents


CORPORATE SECURITIES MATERIALS


APPENDIX A-2 DEPARTMENT OF CORPORATIONS GENERAL RELEASES


APPENDIX A-3 SELECTED SAMPLE COMPLETED FORMS UNDER
CORPORATE SECURITIES LAW


APPENDIX A-4 DEPARTMENT OF CORPORATIONS RELEASES UNDER THE
CORPORATE SECURITIES LAW OF 1968


APPENDIX B-1 BROKER-DEALER APPLICATION FORMS


FRANCHISE INVESTMENT MATERIALS

APPENDIX C-1 FRANCHISE INVESTMENT LAW AND RULES AND FORMS
THEREUNDER

APPENDIX C-2 DEPARTMENT OF CORPORATIONS" 'GUIDELINES FOR
FRANCHISE REGISTRATION'

APPENDIX C-3 California Franchise Relations Act


APPENDIX C-4 DEPARTMENT OF CORPORATIONS RELEASES UNDER THE
FRANCHISE INVESTMENT LAW

TABLE OF CASES

TABLE OF STATUTES

INDEX