SECURITIES LAW IN PERSPECTIVEpdf电子书版本下载

点此进入-本书在线PDF格式电子书下载【推荐-云解压-方便快捷】直接下载PDF格式图书。移动端-PC端通用
种子下载[BT下载速度快] 温馨提示：（请使用BT下载软件FDM进行下载）软件下载地址页 直链下载[便捷但速度慢]   [在线试读本书]   [在线获取解压码]

SECURITIES LAW IN PERSPECTIVEPDF格式电子书版下载

下载的文件为RAR压缩包。需要使用解压软件进行解压得到PDF格式图书。

建议使用BT下载工具Free Download Manager进行下载,简称FDM(免费,没有广告,支持多平台）。本站资源全部打包为BT种子。所以需要使用专业的BT下载软件进行下载。如 BitComet qBittorrent uTorrent等BT下载工具。迅雷目前由于本站不是热门资源。不推荐使用！后期资源热门了。安装了迅雷也可以迅雷进行下载！

（文件页数 要大于 标注页数，上中下等多册电子书除外）

注意：本站所有压缩包均有解压码： 点击下载压缩包解压工具

Chapter 1 Regulatory Authorities 1

§1.01 Securities and Exchange Commission 1

§1.02 Self-Regulatory Authorities (Stock Exchanges and the NASD) 2

§1.03 Banking Authorities 3

§1.04 Municipal Securities 4

§1.05 State Regulation 5

§1.06 State Insurance Commissioners 5

Chapter 2 Securities Laws 8

§2.01 Federal 8

§2.02 State 9

Chapter 3 Securities Markets and Securities Dealers 11

§3.01 Distribution Markets 11

§3.02 Trading Markets 11

[1] Listed Securities 11

[2] Over-the-Counter Securities 13

§3.03 Commission Rates and Markups 15

§3.04 Central Market System 15

§3.05 Securities Industry 16

Chapter 4 What Is a Security? 19

Chapter 5 Public Offering of Securities by Companies 20

§5.01 Under Federal Law 20

§5.02 Under Blue Sky Laws 23

§5.03 NASD and Other Requirements 24

§5.04 Promotional Companies 24

§5.05 The Registration-Distribution Process 25

§5.06 Content of Registration Statement-Prospectus 26

§5.07 projections 29

§5.08 Debt Securities 30

Chapter 6 Exempt Offerings 34

§6.01 Private Placements 34

§6.02 Rule 240 Offerings 36

§6.03 Intrastate Exemption 37

§6.04 Under State Blue Sky Laws 39

Chapter 7 Registration for Trading 43

§7.01 Federal Securities Laws 43

§7.02 State Blue Sky Laws 45

Chapter 8 Secondary Distributions and Trading by Affiliates 48

Chapter 9 Continuous Disclosure 52

§9.01 Periodic Reporting Requirements 52

§9.02 Timely Corporate Disclosure 55

Chapter 10 Securities Law Violations 60

§10.01 Federal General Fraud Provisions 60

§10.02 Blue Sky General Fraud Provisions 62

§10.03 Registration Violations 62

§10.04 Enforcement of General Fraud and Registration Provisions 62

Chapter 11 Private Express Remedies 64

§11.01 Introduction 64

§11.02 Section 12(1): Action by Purchaser of Unregistered Securities 64

§11.03 Section 11: Action for False Prospectus 65

[1] Who Can Assert a Claim Based on Section 11? 65

[2] Against Whom Can the Claim Be Asserted? 65

[3] What Must the Plaintiff Establish? 66

[4] What Are the Company's Defenses? 66

[5] What Are the Expert's Defenses? 67

[6] What Are the Other Defendant's Defenses? 67

[7] Special Causation Defense 68

[8] Section 15 of the Securities Act 68

§11.04 Section 12(2): Action for Fraud in the Sale of Securities Generally 68

§11.05 Section 18(a): Action for Fraud in Exchange Act Filings 69

§11.06 Other Express Remedies 69

§11.07 Statute of Limitations 70

§11.08 Express Remedies Under the Blue Sky Laws 70

§11.09 Common-Law Fraud 71

Chapter 12 Implied Remedies—Primarily Rule 10b-5 74

§12.01 Introduction 74

§12.02 Purchaser-Seller Requirement 76

§12.03 Privity 77

§12.04 Scienter 78

Chapter 13 Materiality 82

Chapter 14 Reliance and Causation 84

Chapter 15 Plaintiff's Care 87

Chapter 16 Insider Trading 89

§16.01 Liability for Short-Term Trading Profits 89

§16.02 Under Rule 10b-5 91

Chapter 17 Fraud on Shareholders 95

§17.01 Derivative Actions and the Securities Laws 95

Chapter 18 Mergers and Other Corporate Combinations 99

§18.01 Introduction 99

§18.02 Merging Subsidiary Into Parent: Oppression of Minority Shareholders 102

§18.03 Going Private 103

§18.04 The Orchestrated Merger and Causation 105

Chapter 19 Tender Offers 108

§19.01 Introduction 108

§19.02 Federal Legislation 108

§19.03 State Regulation 112

Chapter 20 Proxy Regulation 115

§20.01 Introduction 115

§20.02 Proxy Solicitation 115

§20.03 Election of Directors 116

§20.04 Shares Held in Street Name 117

§20.05 Extraordinary Corporate Actions 117

§20.06 Rule 14a-9 117

§20.07 Contribution to Disclosure 118

Chapter 21 Regulation of Broker-Dealers and Investment Advisers 120

§21.01 Broker-Dealers 120

§21.02 Investment Advisers 122

Chapter 22 Investment Companies 125

§22.01 Open End Mutual Funds 125

§22.02 Offering of Investment company Shares 126

§22.03 Contractual Plans 126

§22.04 Registration Requirements 127

§22.05 Substantive Regulation 128

§22.06 State Regulation 129

Chapter 23 SEC Enforcement 131

§23.01 Criminal Violations and Injunctions 131

§23.02 Administrative Proceeding 132

§23.03 Suspension of Trading 132

Chapter 24 Venue, Jurisdiction, Damages, and Procedure 135

§24.01 Jurisdiction and Venue 135

§24.02 Statute of Limitations 136

§24.03 Damages 137

§24.04 Security for Costs and Attorney Fees 138

§24.05 Class Actions 138

§24.06 Derivative Actions 139

§24.07 Pendent Jurisdiction 139

§24.08 Waiver 140

Chapter 25 Transnational Aspects 143

§25.01 Restrictions on Access to American Capital Markets 143

§25.02 Regulation of Foreign Offerings, Dealers, and Companies 144

§25.03 Impact of Tax Laws and Exchange Controls 147

§25.04 Extraterritorial Application of U.S. Securities Laws 148

Chapter 26 SEC and the Professional 156

§26.01 Accounting and Accountants 156

§26.02 Lawyers 158

§26.03 Accountant-Lawyer Interface 159

Index 163