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
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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(14), 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(b)(2), adding new subsection (v) referencing "The Nasdaq Capital Market"
The Investment Advisers Act
Section 206(4)-8, hedge fund antifraud rule
Regulations S-K, S-X, M, SHO, M-A, AC, FD, and G
Securities Act of 1933
SEC Rule 151a, defining the terms "annuity contract" and "optional annuity contract"
Rules of Practice and Investigations (Standards of Professional Conduct for Attorneys)
Staff Accounting Bulletins
Sarbanes-Oxley Act 2002
Investment Advisers Act of 1940
Advisers Act Rules
Investment Company Act of 1940
Investment Company Act Rules