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Securities Regulation: Selected Statutes, Rules and Forms, 2010 Statutory Supplement

Securities Regulation: Selected Statutes, Rules and Forms, 2010 Statutory Supplement

Robert W. Hillman
0/5 ( ratings)
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Designed specifically for the Securities Regulation course, this statutory supplement contains all of the relevant statutes, rules, and forms needed — in a remarkably concise and uncluttered format. A highly effective teaching tool,
it is the ideal complement to any casebook for Securities Regulation,
including but not exclusive to the authors' own Securities Regulation:
Cases and Materials, Sixth Edition.
The 2009 Edition features:



The Securities Exchange Act Rules:
Rules and Forms
Rule 10b-21, naked short sales
Rule 12h-6, deregistration of foreign issuers
Rule 14a-16, Internet Availability of Proxy Materials
Rule 14a-17, internet shareholder forums
Section 15A, the military sales clause
Section 15E, regarding credit rating agencies
Rule 17g-1 through 17g-6, new credit rating agency regulations
SEC amendment to Rule 146, adding new subsection referencing "The Nasdaq Capital Market"
The Investment Advisers Act
Section 206-8, hedge fund antifraud rule


Regulations S-K, S-X, M, SHO, M-A, AC, FD, and G


Securities Act of 1933
Rules and Forms
SEC Rule 151a, defining the terms "annuity contract" and "optional annuity contract"


Rules of Practice and Investigations


Staff Accounting Bulletins


Sarbanes-Oxley Act 2002


Investment Advisers Act of 1940


Advisers Act Rules


Investment Company Act of 1940


Investment Company Act Rules
Language
English
Pages
1014
Format
Paperback
Release
July 30, 2010
ISBN 13
9780735590540

Securities Regulation: Selected Statutes, Rules and Forms, 2010 Statutory Supplement

Robert W. Hillman
0/5 ( ratings)
Read Download
Designed specifically for the Securities Regulation course, this statutory supplement contains all of the relevant statutes, rules, and forms needed — in a remarkably concise and uncluttered format. A highly effective teaching tool,
it is the ideal complement to any casebook for Securities Regulation,
including but not exclusive to the authors' own Securities Regulation:
Cases and Materials, Sixth Edition.
The 2009 Edition features:



The Securities Exchange Act Rules:
Rules and Forms
Rule 10b-21, naked short sales
Rule 12h-6, deregistration of foreign issuers
Rule 14a-16, Internet Availability of Proxy Materials
Rule 14a-17, internet shareholder forums
Section 15A, the military sales clause
Section 15E, regarding credit rating agencies
Rule 17g-1 through 17g-6, new credit rating agency regulations
SEC amendment to Rule 146, adding new subsection referencing "The Nasdaq Capital Market"
The Investment Advisers Act
Section 206-8, hedge fund antifraud rule


Regulations S-K, S-X, M, SHO, M-A, AC, FD, and G


Securities Act of 1933
Rules and Forms
SEC Rule 151a, defining the terms "annuity contract" and "optional annuity contract"


Rules of Practice and Investigations


Staff Accounting Bulletins


Sarbanes-Oxley Act 2002


Investment Advisers Act of 1940


Advisers Act Rules


Investment Company Act of 1940


Investment Company Act Rules
Language
English
Pages
1014
Format
Paperback
Release
July 30, 2010
ISBN 13
9780735590540

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