Securities regulation:
Saved in:
| Main Authors: | , |
|---|---|
| Format: | Book |
| Language: | English |
| Published: |
New York, NY
Foundation Press
2006
|
| Edition: | 6. ed. |
| Series: | University casebook series
|
| Subjects: | |
| Online Access: | Inhaltsverzeichnis |
| Physical Description: | XXXI, 860 S. |
| ISBN: | 9781599411552 1599411555 |
Staff View
MARC
| LEADER | 00000nam a2200000 c 4500 | ||
|---|---|---|---|
| 001 | BV035286663 | ||
| 003 | DE-604 | ||
| 005 | 00000000000000.0 | ||
| 007 | t | ||
| 008 | 090203s2006 |||| 00||| eng d | ||
| 020 | |a 9781599411552 |9 978-1-59941-155-2 | ||
| 020 | |a 1599411555 |9 1-59941-155-5 | ||
| 035 | |a (OCoLC)71067092 | ||
| 035 | |a (DE-599)BVBBV035286663 | ||
| 040 | |a DE-604 |b ger |e rakwb | ||
| 041 | 0 | |a eng | |
| 049 | |a DE-19 | ||
| 050 | 0 | |a KF1438 | |
| 100 | 1 | |a Soderquist, Larry D. |e Verfasser |4 aut | |
| 245 | 1 | 0 | |a Securities regulation |c by Larry D. Soderquist ; Theresa A. Gabaldon |
| 250 | |a 6. ed. | ||
| 264 | 1 | |a New York, NY |b Foundation Press |c 2006 | |
| 300 | |a XXXI, 860 S. | ||
| 336 | |b txt |2 rdacontent | ||
| 337 | |b n |2 rdamedia | ||
| 338 | |b nc |2 rdacarrier | ||
| 490 | 0 | |a University casebook series | |
| 650 | 4 | |a Securities |z United States |v Cases | |
| 650 | 0 | 7 | |a Bankenaufsicht |0 (DE-588)4004450-6 |2 gnd |9 rswk-swf |
| 650 | 0 | 7 | |a Wertpapierrecht |0 (DE-588)4065682-2 |2 gnd |9 rswk-swf |
| 651 | 4 | |a USA | |
| 651 | 7 | |a USA |0 (DE-588)4078704-7 |2 gnd |9 rswk-swf | |
| 689 | 0 | 0 | |a USA |0 (DE-588)4078704-7 |D g |
| 689 | 0 | 1 | |a Wertpapierrecht |0 (DE-588)4065682-2 |D s |
| 689 | 0 | 2 | |a Bankenaufsicht |0 (DE-588)4004450-6 |D s |
| 689 | 0 | |8 1\p |5 DE-604 | |
| 700 | 1 | |a Gabaldon, Theresa A. |e Verfasser |4 aut | |
| 856 | 4 | 2 | |m SWB Datenaustausch |q application/pdf |u http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=017091793&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |3 Inhaltsverzeichnis |
| 999 | |a oai:aleph.bib-bvb.de:BVB01-017091793 | ||
| 883 | 1 | |8 1\p |a cgwrk |d 20201028 |q DE-101 |u https://d-nb.info/provenance/plan#cgwrk | |
Record in the Search Index
| _version_ | 1804138581454749696 |
|---|---|
| adam_text | SUMMARY OF CONTENTS PREFACE V TABLE OF CASES XXV PART I. INTRODUCTION
CHAPTER 1. APPROACHING SECURITIES LAW 2 SEC. A. HISTORICAL AND CULTURAL
PERSPECTIVE 2 B. FEDERAL REGULATORY SCHEME 3 C. SOURCES OF FEDERAL
SECURITIES LAW 10 D. STATE SECURITIES LAW 14 PART II. SECURITIES ACT OF
1933 CHAPTER 2. BUSINESS CONTEXT OF SECURITIES ACT REGISTRATION-- 16
SEC. A. TAKING A COMPANY PUBLIC 17 B. FUNCTIONS OF SECURITIES FIRMS 24
C. STEPS IN A REGISTERED INITIAL PUBLIC OFFERING 29 CHAPTER 3.
REGULATORY FRAMEWORK OF SECURITIES ACT REGIS- TRATION 32 SEC. A. TYPES
OF ISSUERS 32 B. PRE-FILING PERIOD 33 C. WAITING PERIOD 53 D.
POST-EFFECTIVE PERIOD 67 E. SUMMARY 75 CHAPTER 4. SECURITIES ACT
REGISTRATION PROCESS 77 SEC. A. REGISTRATION STATEMENT PREPARATION AND
PROCESSING 78 B. SEC DISCLOSURE REQUIREMENTS 102 C. PERSPECTIVES ON SEC
DISCLOSURE REQUIREMENTS 111 CHAPTER 5. REACH OF SECURITIES ACT
REGULATION 126 SEC. A. WHAT IS A SECURITY? 126 B. WHAT IS A SALE? - -
167 IX SUMMARY OF CONTENTS CHAPTER 6. EXEMPTIONS FROM SECURITIES ACT
REGISTRATION REQUIREMENTS - 177 SEC. A. STATUTORY SCHEME - 177 B.
PRIVATE PLACEMENTS: 4(2) - - - 179 C. INTRASTATE OFFERINGS: SECTION 3
(A) (11) AND RULE 147 *- 193 D. LIMITED OFFERINGS AND USE OF THE
COMMISSION S EXEMPTIVE AU- THORITY: SECTIONS 3 (B), 4(2), 4(6), AND 28;
REGULATIONS A, D, AND CE; RULES 701, 801, AND 802 - 205 CHAPTER 7.
REGULATION OF RESALES OF SECURITIES - 216 SEC. A. CONTROL AND RESTRICTED
SECURITIES-- - - *- - - - 217 B. PUBLIC RESALES OUTSIDE RULE 144 - - - -
- * 220 C. PUBLIC RESALES UNDER RULE 144 * - *.. 236 D. PRIVATE RESALES
OF CONTROL AND RESTRICTED SECURITIES - - 239 CHAPTER 8. LIABILITY FOR
SECURITIES ACT VIOLATIONS * * 244 SEC. A. CRIMINAL AND OTHER
GOVERNMENTAL ACTIONS 245 B. CIVIL LIABILITY *- - - * * - *- 251 C.
INDEMNIFICATION AND CONTRIBUTION - - - - - - 323 PART III. SECURITIES
EXCHANGE ACT OF 1934 CHAPTER 9. COMMISSION S GENERAL EXEMPTIVE AUTHORITY
AND REGISTRATION OF SECURITIES AND PERIODIC REPORTING UNDER THE EXCHANGE
ACT * 330 SEC. A. COMMISSION S GENERAL EXEMPTIVE AUTHORITY* -* ... 331
B. REGISTRATION OF SECURITIES UNDER THE EXCHANGE ACT AND PERIODIC
REPORTING *- - - - * 331 C. FOREIGN CORRUPT PRACTICES ACT * - 339 D.
IMPACT OF THE SARBANES-OXLEY ACT OF 2002 342 CHAPTER 10. PROXY
REGULATION-- 345 SEC. A. REGULATORY SCHEME 345 B. FALSE OR MISLEADING
STATEMENTS * 348 CHAPTER 11. TENDER OFFER REGULATION 373 SEC. A.
REGULATION OF TENDER OFFERS: THE WILLIAMS ACT - 373 B. WHAT IS A TENDER
OFFER? *. 378 SUMMARY OF CONTENTS XI SEC. C. ISSUES IN WILLIAMS ACT
LITIGATION * - 382 D. THE TENDER OFFER BATTLE - 408 CHAPTER 12. FRAUD
AND RELATED ISSUES UNDER RULE 10B-5 AND THE SARBANES-OXLEY ACT 414 SEC.
A. OVERVIEW - --- 414 B. IN CONNECTION WITH REQUIREMENT - 432 C.
RELIANCE AND CAUSATION--- - - *. 444 D. PURCHASER-SELLER REQUIREMENT -
- 457 E. FAULT REQUIRED - 472 F. PERSONS SUBJECT TO TRADING CONSTRAINTS
- 477 G. ISSUERS DUTY TO DISCLOSE 489 H. DAMAGES AND PENALTIES--- - *-
502 I. CONTROLLING PERSON LIABILITY, AIDING AND ABETTING, AND CONSPIRACY
509 J. CONTRIBUTION - - - - * 516 K. FRAUD AND RELATED ISSUES UNDER THE
SARBANES-OXLEY ACT 517 CHAPTER 13. LIABILITY FOR TRADING PROFITS:
SECTION 16(B) AND THE SARBANES-OXLEY ACT OF 2002 - - 519 SEC. A.
LIABILITY FOR SHORT-SWING PROFITS 519 B. BLACKOUT TRADING AND THE
SARBANES-OXLEY ACT - 546 CHAPTER 14. MARKET MANIPULATION AND
STABILIZATION 54 7 SEC. A. MARKET MANIPULATION * - - - - - 547 B.
STABILIZATION. - * -- - -- - 553 CHAPTER 15. REGULATION OF THE
SECURITIES BUSINESS - 558 SEC. A. REGULATION OF STOCK EXCHANGES AND THE
NASD * - - 558 B. REGULATION OF BROKERS AND DEALERS - * 560 C. MARGIN
REQUIREMENTS-* * * - 580 PART IV. SECURITIES LAW LITIGATION CHAPTER 16.
ISSUES FOR SECURITIES LITIGATORS - * 584 SEC. A. COMMISSION S
INVESTIGATORY POWERS - - 584 B. STATUTES OF LIMITATION * - * - - - - 589
C. IN PARI DELICTO DEFENSE - - - - * 595 D. LIMITATIONS ON CONTRACTUAL
RIGHTS, WAIVERS AND ARBITRABILITY - 601 XII SUMMARY OF CONTENTS SEC. E.
PRIVATE SECURITIES LITIGATION REFORM ACT OF 1995 AND THE SECURI- TIES
LITIGATION UNIFORM STANDARDS ACT OF 1998 - - 609 F. ATTORNEY-CLIENT AND
WORK PRODUCT PRIVILEGES -- - * 610 G. RACKETEER INFLUENCED AND CORRUPT
ORGANIZATIONS ACT-- - 616 PART V. SPECIAL RESPONSIBILITIES OF SECURITIES
LAWYERS CHAPTER 17. THE RESPONSIBILITIES OF SECURITIES LAWYERS: VARIOUS
PERSPECTIVES * 624 SEC. A. SPECIAL POSITION OF SECURITIES LAWYERS--- --
-- -.. 624 B. PRIMARY AND SECONDARY LIABILITY - * 629 C. RULE 102(E),
SECTION 4C AND PART 205 * - 646 D. THE MODEL RULES OF PROFESSIONAL
CONDUCT 660 PART VI. STATE SECURITIES LAWS CHAPTER 18. STATE REGULATION
OF SECURITIES - - 664 SEC. A. TRADITIONAL STATE SECURITIES REGULATION
664 B. STATE REGULATION OF CORPORATE TAKEOVERS 684 PART VII.
INTERNATIONAL ASPECTS OF SECURITIES LAW CHAPTER 19. INTERNATIONAL
REGULATION OF SECURITIES *- ~~ 698 SEC. A. INTERNATIONALIZATION OF THE
SECURITIES MARKETS - - * 699 B. WHEN AND WHERE UNITED STATES LAWS APPLY
699 C. UNITED STATES REGISTRATION REQUIREMENTS 701 D. UNITED STATES
ANTIFRAUD REQUIREMENTS - 710 E. OTHER REQUIREMENTS OF UNITED STATES LAW
722 F. ENFORCEMENT MATTERS 723 APPENDICES 729 A. ADDITIONAL DETAIL ON
SOURCES OF FEDERAL SECURITIES LAW - * - 730 B. SECURITIES ACT OF 1933
REGISTRATION DOCUMENTS*IDG BOOKS WORLDWIDE, INC *- 733 INDEX - *- - *
855 TABLE OF CONTENTS PREFACE - - - - - V TABLE OP CASES - *. XXV PART
I. INTRODUCTION CHAPTER 1. APPROACHING SECURITIES LAW * - 2 SEC. A.
HISTORICAL AND CULTURAL PERSPECTIVE * - - 2 B. FEDERAL REGULATORY SCHEME
- - - - 3 I. THE SEC: WHAT IT IS AND WHAT IT DOES-* - - - * 3 THE
INVESTOR S ADVOCATE: HOW THE SEC PROTECTS INVESTORS, MAINTAINS MARKET
INTEGRITY, AND FACILITATES CAPITAL FORMA- TION - - - - 3 II. SECURITIES
ACT AND EXCHANGE ACT INTEGRATION - *. 9 C. SOURCES OF FEDERAL SECURITIES
LAW - - - 10 D. STATE SECURITIES LAW - * *. 14 PART II. SECURITIES ACT
OF 1933 CHAPTER 2. BUSINESS CONTEXT OF SECURITIES ACT REGISTRATION - 16
SITUATION 2 16 SEC. A. TAKING A COMPANY PUBLIC - - - - 17 WHAT MAKES A
COMPANY A GOOD CANDIDATE FOR GOING PUBLIC? CRITERIA, ADVANTAGES, AND
DISADVANTAGES RELATED TO GOING PUB- LIC-* 17 B. FUNCTIONS OF SECURITIES
FIRMS-.-- - - - * 24 I. UNDERWRITING - - - 24 CONSIDERATIONS IN
SELECTING THE MANAGING UNDERWRITER(S) FOR AN INITIAL PUBLIC OFFERING---
-.. 25 II. ACTING AS DEALER, BROKER, AND MARKET MAKER - - - 28 III.
INVESTMENT BANKING - * - - - * 29 C. STEPS IN A REGISTERED INITIAL
PUBLIC OFFERING - - 29 CHAPTER 3. REGULATORY FRAMEWORK OF SECURITIES ACT
REGIS- TRATION - * - -- 32 SEC. A. TYPES OF ISSUERS ~~ * - 32 B.
PRE-FILING PERIOD * * * 33 SITUATION 3B(1) *- *- 33 SITUATION 3B(2) *- -
34 SITUATION 3B(3) * * *- 34 SITUATION 3B(4) * * 34 XM XIV TABLE OF
CONTENTS SEC. B. PRE-FILING PERIOD*CONTINUED I. STATUTORY SCHEME:
PRE-FILING PERIOD - 34 II. WHAT IS AN OFFER? - - 37 A. SECTION 2 (A) (3)
- - - - 37 B. CONDITIONING THE MARKET- -- -- - - - - 37 SECURITIES ACT
RELEASE NO. 3844 - - - - *- 38 IN RE CARL M. LOEB, RHOADES & CO - - - -
41 SECURITIES ACT RELEASE NO. 5180 * * - - * 46 SECURITIES ACT RELEASE
NO. 7856 - - - - * 48 C. GENERAL EXCEPTIONS TO THE DEFINITION OF OFFER
- * 50 D. SPECIAL SITUATIONS *- - - - - * 52 C. WAITING PERIOD - * * * -
- * 53 SITUATION 3C(1) * - * - - *- 53 SITUATION 3C(2) - 54 SITUATION
3C(3) * * - * - - 54 SITUATION 3C(4) - ____ 55 I. STATUTORY SCHEME:
WAITING PERIOD * * - * 55 II. WHAT IS A SALE? 57 IN RE FRANKLIN, MEYER &
BARNETT * * 58 III. WHAT IS A PROSPECTUS? * * - ~* 61 A. WRITTEN OR BY
RADIO OR TELEVISION * - 62 B. EXCEPTIONS 63 C. THE POSSIBLE IMPACT OF
GUSTAFSON V. ALLOYD - - 64 IV. PRELIMINARY PROSPECTUS DELIVERY
REQUIREMENTS - - - 65 SECURITIES ACT RELEASE NO. 4968 * - - 66 D.
POST-EFFECTIVE PERIOD __ 67 SITUATION 3D(1) __ _ 67 SITUATION 3D(2)
_____ _ 68 SITUATION 3D(3) __ _ 68 SITUATION 3D(4) ___ 68 I. STATUTORY
SCHEME: POST-EFFECTIVE PERIOD - __ 68 II. TOMBSTONE ADVERTISEMENTS 70
III. SECTION 5(B) AND DEFECTIVE PROSPECTUSES * *- 71 SEC V. MANOR
NURSING CENTERS, INC _ 72 IV. FINAL PROSPECTUS DELIVERY REQUIREMENTS __
__ 73 E. SUMMARY ____ _ 75 CHAPTER 4. SECURITIES ACT REGISTRATION
PROCESS - - - 77 SITUATION 4- __ _ 77 SEC. A. REGISTRATION STATEMENT
PREPARATION AND PROCESSING 78 I. STATUTORY SCHEME AND REAL WORLD
PRACTICE - * 78 A. STATUTORY SCHEME ~ 78 B. REVIEW AND COMMENT PROCEDURE
__ _ 79 DEVELOPMENT OF S.E.C. PRACTICES IN PROCESSING REGISTRA- TION
STATEMENTS AND PROXY STATEMENTS - - 79 C. EFFECTIVENESS OF REGISTRATION
STATEMENTS AND SHELF REGIS- TRATION UNDER RULE 415 - 82 TABLE OF
CONTENTS XV SEC. A. REGISTRATION STATEMENT PREPARATION AND
PROCESSING*CONTINUED I. DELAYING AND ACCELERATING EFFECTIVENESS IN A
TRADITION- AL REGISTRATION --- 82 LAS VEGAS HAWAIIAN DEVELOPMENT CO. V.
SEC 84 ACCELERATION UNDER THE SECURITIES ACT OF 1933*A POST- SCRIPT - 86
II. SHELF REGISTRATION UNDER RULE 415 90 D. REFUSAL ORDERS, STOP ORDERS,
AND WITHDRAWAL OF REGISTRA- TION STATEMENTS - 92 II. WORKING THROUGH THE
REGISTRATION PROCESS * 92 A. REGISTRATION STATEMENT FORMS--- - - 92 B.
RULES, REGULATIONS, AND INDUSTRY GUIDES - 94 C. PREPARING AND FILING
REGISTRATION STATEMENTS- - - 96 I. REGISTRATION STATEMENT DRAFTING AND
FILING WITH THE COMMISSION - - - 96 II. BLUE SKY QUALIFICATIONS AND NASD
CLEARANCE--- - 98 GOING PUBLIC - - - - 98 D. PURCHASE OF SECURITIES BY
THE UNDERWRITERS-- - - 99 GOING PUBLIC *. 99 FEDERAL SECURITIES ACT
HANDBOOK-- 100 B. SEC DISCLOSURE REQUIREMENTS - * 102 IN RE UNIVERSAL
CAMERA CORP 102 IN RE TEXAS GLASS MFG. CORP 107 AVOIDING DELAYS IN
PROCESSING REGISTRATION STATEMENTS UNDER THE SECURITIES ACT OF 1933 -
108 C. PERSPECTIVES ON SEC DISCLOSURE REQUIREMENTS 111 THE MYTH OF THE
INFORMED LAYMAN 111 NEW APPROACHES TO DISCLOSURE IN REGISTERED SECURITY
OFFERINGS* 113 THE SEC AND CORPORATE DISCLOSURE--- - 115 MANDATORY
DISCLOSURE AND THE PROTECTION OF INVESTORS--- - 118 MARKET FAILURE AND
THE ECONOMIC CASE FOR A MANDATORY DISCLO- SURE SYSTEM - - - 121
TECHNOLOGY, PROPERTY RIGHTS IN INFORMATION, AND SECURITIES REGU- LATION
* - - - - - 123 REGULATORY INITIATIVES AND THE INTERNET: A NEW ERA OF
OVERSIGHT FOR SECURITIES AND EXCHANGE COMMISSION * ~~ 124 CHAPTER 5.
REACH OF SECURITIES ACT REGULATION.-- 126 SEC. A. WHAT IS A SECURITY? *-
*- 126 SITUATION 5A *- - 126 I. STATUTORY SCHEME- -* * - 127 II.
INVESTMENT CONTRACT- - * 128 SEC V. W.J. HOWEY CO * 128 A. INVESTMENT OF
MONEY AND EXPECTATION OF PROFITS 131 UNITED HOUSING FOUNDATION, INC. V.
FORMAN * - 131 INTERNATIONAL BROTHERHOOD OF TEAMSTERS V. DANIEL * * 135
SEC V. EDWARDS - - - - 139 B. COMMON ENTERPRISE AND SOLELY FROM THE
EFFORTS OF OTHERS 143 XVI TABLE OF CONTENTS SEC. A. WHAT IS A
SECURITY?*CONTINUED SEC V. KOSCOT INTERPLANETARY, INC - - - - * 143 SEC
V. LIFE PARTNERS, INCORPORATED - 148 III. EVIDENCE OF INDEBTEDNESS - - -
- - 150 UNITED STATES V. JONES .. 150 IN RE TUCKER CORP - - - * 152 THE
PROCTER & GAMBLE COMPANY V. BANKERS TRUST COMPANY AND BT SECURITIES
CORPORATION - - - - 153 IV. UNLESS THE CONTEXT OTHERWISE REQUIRES - -
155 A. SALE OF A BUSINESS - 156 LANDRETH TIMBER CO. V. LANDRETH - - 157
B. PROMISSORY NOTES - * 161 REVES V. ERNST & YOUNG * - - 162 B. WHAT IS
A SALE? - - - 167 SITUATION 5B - - 167 I. ACQUISITIONS - ~ - - - - 168
SECURITIES ACT RELEASE NO. 5316 - * 169 SECURITIES ACT RELEASE NO. 5463
- * 172 II. SPIN-OFFS AND FREE STOCK GIVE-AWAYS - - *- 172 SECURITIES
ACT RELEASE NO. 4982 - - 172 SEC V. DATRONICS ENGINEERS, INC..* - - *
174 CHAPTER 6. EXEMPTIONS FROM SECURITIES ACT REGISTRATION REQUIREMENTS
- * * 177 SITUATION 6 * _ 177 SEC. A. STATUTORY SCHEME - - 177 B.
PRIVATE PLACEMENTS: 4(2)- * *- *~ 179 SEC V. RALSTON PURINA CO * *. 180
SECURITIES ACT RELEASE NO. 4552 * *. 183 SECTION 4(2) AND STATUTORY LAW
186 C. INTRASTATE OFFERINGS: SECTION 3 (A) (11) AND RULE 147 - 193 I.
STATUTORY EXEMPTION - 194 SECURITIES ACT RELEASE NO. 4434 * * - 194
SECURITIES REGULATION * * _ 196 BUSCH V. CARPENTER * * .* *. 199 II.
RULE 147-* - * - - 203 SECURITIES ACT RELEASE NO. 5450 - 203 D. LIMITED
OFFERINGS AND USE OF THE COMMISSION S EXEMPTIVE AU- THORITY: SECTIONS 3
(B), 4(2), 4(6), AND 28; REGULATIONS A, D, AND CE; RULES 701, 801, AND
802 - -- 205 I. REGULATION A - -- 206 II. SECTION 4(6) - - - *- -----
207 III. REGULATION D*~ - - 208 SECURITIES ACT RELEASE NO. 6455 - 210
INTERPRETIVE LETTER RESPONSE - 213 IV. REGULATION CE - - - 214 V. RULE
701*- - * - 214 TABLE OF CONTENTS XVIL SEC. D. LIMITED OFFERINGS AND USE
OF THE COMMISSION S EXEMPTIVE AU- THORITY: SECTIONS 3 (B), 4(2), 4(6),
AND 28; REGULATIONS A, D, AND CE; RULES 701, 801, AND 802*CONTINUED VI.
RULES 801 AND 802 .* - - * 214 CHAPTER 7. REGULATION OF RESALES OF
SECURITIES 216 SITUATION? - - 216 SEC. A. CONTROL AND RESTRICTED
SECURITIES - 217 B. PUBLIC RESALES OUTSIDE RULE 144 220 I. SALES OF
CONTROL SECURITIES * - * 220 IN RE IRA HAUPT & CO 222 UNITED STATES V.
WOLFSON 230 II. SALES OF RESTRICTED SECURITIES---- *. 232 UNITED STATES
V. SHERWOOD - - - 233 C. PUBLIC RESALES UNDER RULE 144 236 SELLING
RESTRICTED SECURITIES UNDER RULE 144-A PRACTICAL GUIDE *. 238 D. PRIVATE
RESALES OF CONTROL AND RESTRICTED SECURITIES 239 I. RULE 144A - 240 II.
PRIVATE RESALES OUTSIDE RULE 144A- 241 THE SECTION 4(1^) PHENOMENON:
PRIVATE RESALES OF RE- STRICTED SECURITIES - 241 CHAPTER 8. LIABILITY
FOR SECURITIES ACT VIOLATIONS - 244 SITUATION8 244 SEC. A. CRIMINAL AND
OTHER GOVERNMENTAL ACTIONS 245 UNITED STATES V. BROWN *- 246 B. CIVIL
LIABILITY *~ - - 251 I. SECTION 11 - _ 251 ESCOTT V. BARCHRIS
CONSTRUCTION CORP - 253 DUE DILIGENCE EXAMINATIONS 267 IN RE DONALD J.
TRUMP CASINO SECURITIES LITIGATION*TAJ MAHAL LITIGATION* - __ 272 IN RE
ADAMS GOLF, INC., SEC. LITIG - 276 KAPPS V. TORCH OFFSHORE, INC 280 II.
SECTION 12 (A) (1) * - - - 283 FULLER V. DILBERT - - 283 DISKIN V.
LOMASNEY & CO - 286 PINTER V. DAHL - - 288 III. SECTION 12 (A) (2) - - -
- 295 GUSTAFSON V. ALLOYD CO., INC. - - - 296 SANDERS V. JOHN NUVEEN &
CO., INC. - 309 IV. SECTION 15 *- - - - - *- 311 STADIA OIL & URANIUM
CO. V. WHEELIS - * 312 V. SECTION 17 (A)-* - - - - 313 XVIIL TABLE OF
CONTENTS SEC. B. CIVIL LIABILITY*CONTINUED IN RE WASHINGTON PUBLIC POWER
SUPPLY SYSTEM SECURITIES LITIGATION - *- - - * 317 C. INDEMNIFICATION
AND CONTRIBUTION - * *- - - - 323 GLOBUS V. LAW RESEARCH SERVICE, INC -
--- ---- 324 PART III. SECURITIES EXCHANGE ACT OF 1934 CHAPTER 9.
COMMISSION S GENERAL EXEMPTIVE AUTHORITY AND REGISTRATION OF SECURITIES
AND PERIODIC REPORTING UNDER THE EXCHANGE ACT * - 330 SITUATION 9 - * -
330 SEC. A. COMMISSION S GENERAL EXEMPTIVE AUTHORITY *- *- - 331 B.
REGISTRATION OF SECURITIES UNDER THE EXCHANGE ACT AND PERIODIC REPORTING
* * 331 I. REGISTRATION - 331 II. PERIODIC REPORTING UNDER THE EXCHANGE
ACT 333 CRAMER V. GENERAL TELEPHONE & ELECTRONICS 336 IN RE PENN CENTRAL
SECURITIES LITIGATION-- * 337 III. EDGAR 339 C. FOREIGN CORRUPT
PRACTICES ACT 339 THE ACCOUNTING PROVISIONS OF THE FOREIGN CORRUPT
PRACTICES ACT: AN ANALYSIS 340 D. IMPACT OF THE SARBANES-OXLEY ACT OF
2002 *.. 342 CHAPTER 10. PROXY REGULATION 345 SITUATION 10 345 SEC. A.
REGULATORY SCHEME 345 B. FALSE OR MISLEADING STATEMENTS 348 I.
MATERIALITY AND CAUSATION 348 TSC INDUSTRIES, INC. V. NORTHWAY, INC 349
MILLS V. ELECTRIC AUTO-LITE CO - 351 COLE V. SCHENLEY INDUSTRIES, INC -
353 VIRGINIA BANKSHARES, INC. V. SANDBERG 355 II. DEGREE OF FAULT
REQUIRED 366 GERSTLE V. GAMBLE-SKOGMO, INC. 367 ADAMS V. STANDARD
KNITTING MILLS, INC 370 CHAPTER 11. TENDER OFFER REGULATION 373
SITUATION 11 373 SEC. A. REGULATION OF TENDER OFFERS: THE WILLIAMS ACT -
373 SECURITIES EXCHANGE ACT RELEASE NO. 43069 *. 376 TABLE OF CONTENTS
XIX SEC. B. WHAT IS A TENDER OFFER? - 378 HANSON TRUST PLC V. SCM CORP
379 C. ISSUES IN WILLIAMS ACT LITIGATION *. 382 I. WHO MAY BRING SUIT?*
- 382 A. SECTION 13 (D) *- - 382 INDIANA NATIONAL CORP. V. RICH - * *
383 B. SECTION 14(E)... - - 386 PIPER V. CHRIS-CRAFT INDUSTRIES, INC.
386 LEWIS V. MCGRAW 391 II. SUBSTANTIVE SECTION 13 (D) ISSUES *. 394 GAF
CORP. V. MILSTEIN .* 394 RONDEAU V. MOSINEE PAPER CORP - 398 III.
CONDUCT PROSCRIBED BY SECTION 14 (E) - 403 SCHREIBER V. BURLINGTON
NORTHERN, INC - 404 D. THE TENDER OFFER BATTLE *- - 408 TAKEOVER LAW AND
PRACTICE 2002 409 CHAPTER 12. FRAUD AND RELATED ISSUES UNDER RULE 10B-5
AND THE SARBANES-OXLEY ACT - * 414 SITUATION 12 *- 414 SEC. A. OVERVIEW
--- 414 IN RE CADY, ROBERTS & CO 417 SEC V. TEXAS GULF SULPHUR CO 420 B.
IN CONNECTION WITH REQUIREMENT 432 SUPERINTENDENT OF INSURANCE OF NEW
YORK V. BANKERS LIFE & CASUALTY CO 432 SEC V. ZANDFORD - 434 BROWN V.
IVIE - 439 SANTA FE INDUSTRIES, INC. V. GREEN 441 C. RELIANCE AND
CAUSATION _ - 444 FRIDRICH V. BRADFORD - 444 BASIC INC. V. LEVINSON* -
447 DURA PHARMACEUTICALS, INC. V. BROUDO 453 D. PURCHASER-SELLER
REQUIREMENT 457 BLUE CHIP STAMPS V. MANOR DRUG STORES - 457 ALLEY V.
MIRAMON - - - - 463 THE WHARF (HOLDINGS) LIMITED V. UNITED INTERNATIONAL
HOLDINGS, INC - 467 ONTARIO PUBLIC SERVICE EMPLOYEES UNION PENSION TRUST
FUND V. NORTEL NETWORKS CORP. 469 E. FAULT REQUIRED * - - * - 472 ERNST
& ERNST V. HOCHFELDER * - . * 472 F. PERSONS SUBJECT TO TRADING
CONSTRAINTS - 477 CHIARELLA V. UNITED STATES - - 478 UNITED STATES V.
O HAGAN- * *- *. 481 DIRKS V. SEC - *~ 486 G. ISSUERS DUTY TO
DISCLOSE.-- - 489 BASIC INC. V. LEVINSON - - *. 490 XX TABLE OF CONTENTS
SEC. G. ISSUERS DUTY TO DISCLOSE*CONTINUED ROSS V. A.H. ROBINS CO - 497
STRANSKY V. CUMMINS ENGINE CO., INC * 499 H. DAMAGES AND PENALTIES - - *
502 ELKIND V. LIGGETT & MYERS, INC - 503 I. CONTROLLING PERSON
LIABILITY, AIDING AND ABETTING, AND CONSPIRACY 509 CENTRAL BANK OF
DENVER, N.A. V. FIRST INTERSTATE BANK OF DENVER, N.A 510 J. CONTRIBUTION
- * - 516 K. FRAUD AND RELATED ISSUES UNDER THE SARBANES-OXLEY ACT 517
CHAPTER 13. LIABILITY FOR TRADING PROFITS: SECTION 16(B) AND THE
SARBANES-OXLEY ACT OF 2002 519 SITUATION 13 519 SEC. A. LIABILITY FOR
SHORT-SWING PROFITS - 519 I. STATUTORY SCHEME *- 519 II. PERSONS LIABLE
*. 521 A. TITLES - - *- 521 B. DEPUTIZATION - - - 522 FEDER V. MARTIN
MARIETTA CORP 523 C. BENEFICIAL OWNERSHIP 525 III. WHAT CONSTITUTES A
PURCHASE OR SALE? - 528 KERN COUNTY LAND CO. V. OCCIDENTAL PETROLEUM
CORP 528 IV. TIMING OF PURCHASES AND SALES 533 RELIANCE ELECTRIC CO. V.
EMERSON ELECTRIC CO 533 FOREMOST-MCKESSON, INC. V. PROVIDENT SECURITIES
CO 535 V. STANDING TO SUE.* - - - - - - 539 GOLLUST V. MENDELL - * - - -
- - 540 VI. CALCULATION OF PROFITS - - - 543 SMOLOWE V. DELENDO CORP 543
B. BLACKOUT TRADING AND THE SARBANES-OXLEY ACT--- 546 CHAPTER 14. MARKET
MANIPULATION AND STABILIZATION - *- 547 SITUATION 14 - - _ _ 547 SEC. A.
MARKET MANIPULATION - * - 547 SEC V. RESCH-CASSIN & CO - 548 SECURITIES
EXCHANGE ACT RELEASE NO. 19244 - 552 B. STABILIZATION - _ _ 553 EXCHANGE
ACT RELEASE NO. 2446.--- 554 CHAPTER 15. REGULATION OF THE SECURITIES
BUSINESS 558 SITUATION 15-- * - 558 A. REGULATION OF STOCK EXCHANGES AND
THE NASD - - 558 TABLE OF CONTENTS XXI SEC. B. REGULATION OF BROKERS AND
DEALERS 560 I. FAIR DEALING -* 560 CHASINS V. SMITH, BARNEY & CO 560 IN
RE MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. 563 II. CHURNING 570
MIHARA V. DEAN WITTER & CO 570 III. SUITABILITY 573 O CONNOR V. R.F.
LAFFERTY & CO., INC 573 IV. NET CAPITAL, RECORDKEEPING, AND REPORTING
REQUIREMENTS 576 IN RE WHITNEY & CO - *- 576 V. BOILER-ROOMS - 578 BERKO
V. SEC - 578 C. MARGIN REQUIREMENTS - 580 PART IV. SECURITIES LAW
LITIGATION CHAPTER 16. ISSUES FOR SECURITIES LITIGATORS... 584 SITUATION
16 - - 584 SEC. A. COMMISSION S INVESTIGATORY POWERS 584 SEC V. JERRY T.
O BRIEN, INC 584 B. STATUTES OF LIMITATION 589 I. PRIVATE RIGHTS OF
ACTION 589 A. SECURITIES ACT OF 1933 589 B. EXCHANGE ACT OF 1934 590
LAMPF, PLEVA, LIPKIND, PRUPIS & PETIGROW V. GILBERTSON* 590 II. CRIMINAL
AND OTHER ACTIONS 595 C. IN PARI DELICTO DEFENSE 595 BATEMAN EICHLER,
HILL RICHARDS, INC. V. BERNER * 595 D. LIMITATIONS ON CONTRACTUAL
RIGHTS, WAIVERS AND ARBITRABILITY 601 I. LIMITATIONS ON CONTRACTUAL
RIGHTS - 601 KAISER-FRAZER CORP. V. OTIS & CO 601 II. WAIVER OF
SECURITIES LAW RIGHTS *- 604 III. ARBITRABILITY OF SECURITIES LAW CLAIMS
605 RODRIGUEZ DE QUIJAS V. SHEARSON/AMERICAN EXPRESS, INC 605 FIRST
OPTIONS OF CHICAGO, INC. V. KAPLAN 608 E. PRIVATE SECURITIES LITIGATION
REFORM ACT OF 1995 AND THE SECURI- TIES LITIGATION UNIFORM STANDARDS ACT
OF 1998 609 F. ATTORNEY-CLIENT AND WORK PRODUCT PRIVILEGES - 610 IN RE
SUBPOENAS DUCES TECUM 611 G. RACKETEER INFLUENCED AND CORRUPT
ORGANIZATIONS ACT 616 SEDIMA, S.P.R.L. V. IMREX CO -* 617 PART V.
SPECIAL RESPONSIBILITIES OF SECURITIES LAWYERS CHAPTER 17. THE
RESPONSIBILITIES OF SECURITIES LAWYERS: VAR- IOUS PERSPECTIVES 624
SITUATION 17 - 624 XXII TABLE OF CONTENTS SEC. A. SPECIAL POSITION OF
SECURITIES LAWYERS.- - - 624 THE EMERGING RESPONSIBILITIES OF THE
SECURITIES LAWYER 625 STATEMENT OF POLICY REGARDING RESPONSIBILITIES AND
LIABILITIES OF LAWYERS IN ADVISING WITH RESPECT TO THE COMPLIANCE BY
CLIENTS WITH LAWS ADMINISTERED BY THE SECURITIES AND EXCHANGE COM-
MISSION - 627 B. PRIMARY AND SECONDARY LIABILITY 629 SEC V. NATIONAL
STUDENT MARKETING CORP - 629 SCHATZ V. ROSENBERG - - 639 C. RULE 102(E),
SECTION 4C AND PART 205 - - 646 I. RULE 102(E) - 646 IN RE CARTER - - -
- 646 CHECKOSKY V. SEC *- 654 II. SECTION 4C AND PART 205 - - - 658 D.
THE MODEL RULES OF PROFESSIONAL CONDUCT-* - 660 PART VI. STATE
SECURITIES LAWS CHAPTER 18. STATE REGULATION OF SECURITIES* - - 664 SEC.
A. TRADITIONAL STATE SECURITIES REGULATION -~ - 664 SITUATION 18A*- - *-
- - 664 I. PREEMPTION - _. .__ 664 MERRILL LYNCH, PIERCE, FENNER &
SMITH, INC. V. DABIT- 665 II. STATE REGULATION OF SECURITIES OFFERINGS-
- 671 BLUE SKY LAW AND PRACTICE: AN OVERVIEW - 671 MARSHALL V. HARRIS -
676 KREIS V. MATES INVESTMENT FUND, INC * 679 JOHNSON V. COLIP ___. _
681 B. STATE REGULATION OF CORPORATE TAKEOVERS * 684 SITUATION 18B __ _
_ 684 EDGAR V. MITE CORP _. 684 CTS CORP. V. DYNAMICS CORP. OF AMERICA *
*- 690 PART VII. INTERNATIONAL ASPECTS OF SECURITIES LAW CHAPTER 19.
INTERNATIONAL REGULATION OF SECURITIES * 698 SITUATION 19 * _._ _ _____
698 SEC. A. INTERNATIONALIZATION OF THE SECURITIES MARKETS * 699 B. WHEN
AND WHERE UNITED STATES LAWS APPLY * 699 I. BREADTH OF INTERSTATE
COMMERCE 699 II. IMPORTANCE OF CONTEXT 700 TABLE OF CONTENTS XXIN SEC.
C. UNITED STATES REGISTRATION REQUIREMENTS 701 I. SECURITIES OFFERED
ABROAD 701 A. REGULATION S 701 SECURITIES ACT RELEASE NO. 6863 701 B.
CERTAIN PRESS COMMUNICATIONS.--- 704 C. OFFSHORE WEBSITES 704
SECURITIES ACT RELEASE NO. 33-7516 704 D. OUTSIDE THE SAFE HARBORS * - -
708 II. SECURITIES OF FOREIGN ISSUERS OFFERED IN THE UNITED STATES 708
A. EXEMPTIONS FROM SECURITIES ACT REGISTRATION 708 B. SECURITIES ACT
REGISTRATION BY FOREIGN ISSUERS. - - 709 III. EXCHANGE ACT REGISTRATION
AND REPORTING BY FOREIGN ISSUERS 709 IV. SPECIAL CASE OF AMERICAN
DEPOSITARY RECEIPTS 710 D. UNITED STATES ANTIFRAUD REQUIREMENTS 710 I.
JUDICIAL ATTITUDE AND CONGRESSIONAL INTENT - - 710 BERSCH V. DREXEL
FIRESTONE, INC 711 SECURITIES AND EXCHANGE COMMISSION V. KASSER * 717
II. APPROACH OF THE RESTATEMENT (THIRD) 722 E. OTHER REQUIREMENTS OF
UNITED STATES LAW - - 722 F. ENFORCEMENT MATTERS 723 SECURITIES AND
EXCHANGE COMMISSION V. BANCA DELIA SVIZZERA ITALIANA, ET AL 723
APPENDICES 729 A. ADDITIONAL DETAIL ON SOURCES OF FEDERAL SECURITIES LAW
* 730 B. SECURITIES ACT OF 1933 REGISTRATION DOCUMENTS*IDG BOOKS
WORLDWIDE, INC 733 INDEX - 855 PPN: 275310558 TITEL: SECURITIES
REGULATION / BY LARRY D. SODERQUIST; THERESA A. GABALDON. - . - NEW
YORK, NY : FOUNDATION PRESS [U.A.], 2006 ISBN: 1-599-41155-5;
978-1-599-41155-2 BIBLIOGRAPHISCHER DATENSATZ IM SWB-VERBUND
|
| any_adam_object | 1 |
| author | Soderquist, Larry D. Gabaldon, Theresa A. |
| author_facet | Soderquist, Larry D. Gabaldon, Theresa A. |
| author_role | aut aut |
| author_sort | Soderquist, Larry D. |
| author_variant | l d s ld lds t a g ta tag |
| building | Verbundindex |
| bvnumber | BV035286663 |
| callnumber-first | K - Law |
| callnumber-label | KF1438 |
| callnumber-raw | KF1438 |
| callnumber-search | KF1438 |
| callnumber-sort | KF 41438 |
| callnumber-subject | KF - United States |
| ctrlnum | (OCoLC)71067092 (DE-599)BVBBV035286663 |
| edition | 6. ed. |
| format | Book |
| fullrecord | <?xml version="1.0" encoding="UTF-8"?><collection xmlns="http://www.loc.gov/MARC21/slim"><record><leader>01671nam a2200445 c 4500</leader><controlfield tag="001">BV035286663</controlfield><controlfield tag="003">DE-604</controlfield><controlfield tag="005">00000000000000.0</controlfield><controlfield tag="007">t</controlfield><controlfield tag="008">090203s2006 |||| 00||| eng d</controlfield><datafield tag="020" ind1=" " ind2=" "><subfield code="a">9781599411552</subfield><subfield code="9">978-1-59941-155-2</subfield></datafield><datafield tag="020" ind1=" " ind2=" "><subfield code="a">1599411555</subfield><subfield code="9">1-59941-155-5</subfield></datafield><datafield tag="035" ind1=" " ind2=" "><subfield code="a">(OCoLC)71067092</subfield></datafield><datafield tag="035" ind1=" " ind2=" "><subfield code="a">(DE-599)BVBBV035286663</subfield></datafield><datafield tag="040" ind1=" " ind2=" "><subfield code="a">DE-604</subfield><subfield code="b">ger</subfield><subfield code="e">rakwb</subfield></datafield><datafield tag="041" ind1="0" ind2=" "><subfield code="a">eng</subfield></datafield><datafield tag="049" ind1=" " ind2=" "><subfield code="a">DE-19</subfield></datafield><datafield tag="050" ind1=" " ind2="0"><subfield code="a">KF1438</subfield></datafield><datafield tag="100" ind1="1" ind2=" "><subfield code="a">Soderquist, Larry D.</subfield><subfield code="e">Verfasser</subfield><subfield code="4">aut</subfield></datafield><datafield tag="245" ind1="1" ind2="0"><subfield code="a">Securities regulation</subfield><subfield code="c">by Larry D. Soderquist ; Theresa A. Gabaldon</subfield></datafield><datafield tag="250" ind1=" " ind2=" "><subfield code="a">6. ed.</subfield></datafield><datafield tag="264" ind1=" " ind2="1"><subfield code="a">New York, NY</subfield><subfield code="b">Foundation Press</subfield><subfield code="c">2006</subfield></datafield><datafield tag="300" ind1=" " ind2=" "><subfield code="a">XXXI, 860 S.</subfield></datafield><datafield tag="336" ind1=" " ind2=" "><subfield code="b">txt</subfield><subfield code="2">rdacontent</subfield></datafield><datafield tag="337" ind1=" " ind2=" "><subfield code="b">n</subfield><subfield code="2">rdamedia</subfield></datafield><datafield tag="338" ind1=" " ind2=" "><subfield code="b">nc</subfield><subfield code="2">rdacarrier</subfield></datafield><datafield tag="490" ind1="0" ind2=" "><subfield code="a">University casebook series</subfield></datafield><datafield tag="650" ind1=" " ind2="4"><subfield code="a">Securities</subfield><subfield code="z">United States</subfield><subfield code="v">Cases</subfield></datafield><datafield tag="650" ind1="0" ind2="7"><subfield code="a">Bankenaufsicht</subfield><subfield code="0">(DE-588)4004450-6</subfield><subfield code="2">gnd</subfield><subfield code="9">rswk-swf</subfield></datafield><datafield tag="650" ind1="0" ind2="7"><subfield code="a">Wertpapierrecht</subfield><subfield code="0">(DE-588)4065682-2</subfield><subfield code="2">gnd</subfield><subfield code="9">rswk-swf</subfield></datafield><datafield tag="651" ind1=" " ind2="4"><subfield code="a">USA</subfield></datafield><datafield tag="651" ind1=" " ind2="7"><subfield code="a">USA</subfield><subfield code="0">(DE-588)4078704-7</subfield><subfield code="2">gnd</subfield><subfield code="9">rswk-swf</subfield></datafield><datafield tag="689" ind1="0" ind2="0"><subfield code="a">USA</subfield><subfield code="0">(DE-588)4078704-7</subfield><subfield code="D">g</subfield></datafield><datafield tag="689" ind1="0" ind2="1"><subfield code="a">Wertpapierrecht</subfield><subfield code="0">(DE-588)4065682-2</subfield><subfield code="D">s</subfield></datafield><datafield tag="689" ind1="0" ind2="2"><subfield code="a">Bankenaufsicht</subfield><subfield code="0">(DE-588)4004450-6</subfield><subfield code="D">s</subfield></datafield><datafield tag="689" ind1="0" ind2=" "><subfield code="8">1\p</subfield><subfield code="5">DE-604</subfield></datafield><datafield tag="700" ind1="1" ind2=" "><subfield code="a">Gabaldon, Theresa A.</subfield><subfield code="e">Verfasser</subfield><subfield code="4">aut</subfield></datafield><datafield tag="856" ind1="4" ind2="2"><subfield code="m">SWB Datenaustausch</subfield><subfield code="q">application/pdf</subfield><subfield code="u">http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=017091793&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA</subfield><subfield code="3">Inhaltsverzeichnis</subfield></datafield><datafield tag="999" ind1=" " ind2=" "><subfield code="a">oai:aleph.bib-bvb.de:BVB01-017091793</subfield></datafield><datafield tag="883" ind1="1" ind2=" "><subfield code="8">1\p</subfield><subfield code="a">cgwrk</subfield><subfield code="d">20201028</subfield><subfield code="q">DE-101</subfield><subfield code="u">https://d-nb.info/provenance/plan#cgwrk</subfield></datafield></record></collection> |
| geographic | USA USA (DE-588)4078704-7 gnd |
| geographic_facet | USA |
| id | DE-604.BV035286663 |
| illustrated | Not Illustrated |
| indexdate | 2024-07-09T21:30:28Z |
| institution | BVB |
| isbn | 9781599411552 1599411555 |
| language | English |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-017091793 |
| oclc_num | 71067092 |
| open_access_boolean | |
| owner | DE-19 DE-BY-UBM |
| owner_facet | DE-19 DE-BY-UBM |
| physical | XXXI, 860 S. |
| publishDate | 2006 |
| publishDateSearch | 2006 |
| publishDateSort | 2006 |
| publisher | Foundation Press |
| record_format | marc |
| series2 | University casebook series |
| spelling | Soderquist, Larry D. Verfasser aut Securities regulation by Larry D. Soderquist ; Theresa A. Gabaldon 6. ed. New York, NY Foundation Press 2006 XXXI, 860 S. txt rdacontent n rdamedia nc rdacarrier University casebook series Securities United States Cases Bankenaufsicht (DE-588)4004450-6 gnd rswk-swf Wertpapierrecht (DE-588)4065682-2 gnd rswk-swf USA USA (DE-588)4078704-7 gnd rswk-swf USA (DE-588)4078704-7 g Wertpapierrecht (DE-588)4065682-2 s Bankenaufsicht (DE-588)4004450-6 s 1\p DE-604 Gabaldon, Theresa A. Verfasser aut SWB Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=017091793&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis 1\p cgwrk 20201028 DE-101 https://d-nb.info/provenance/plan#cgwrk |
| spellingShingle | Soderquist, Larry D. Gabaldon, Theresa A. Securities regulation Securities United States Cases Bankenaufsicht (DE-588)4004450-6 gnd Wertpapierrecht (DE-588)4065682-2 gnd |
| subject_GND | (DE-588)4004450-6 (DE-588)4065682-2 (DE-588)4078704-7 |
| title | Securities regulation |
| title_auth | Securities regulation |
| title_exact_search | Securities regulation |
| title_full | Securities regulation by Larry D. Soderquist ; Theresa A. Gabaldon |
| title_fullStr | Securities regulation by Larry D. Soderquist ; Theresa A. Gabaldon |
| title_full_unstemmed | Securities regulation by Larry D. Soderquist ; Theresa A. Gabaldon |
| title_short | Securities regulation |
| title_sort | securities regulation |
| topic | Securities United States Cases Bankenaufsicht (DE-588)4004450-6 gnd Wertpapierrecht (DE-588)4065682-2 gnd |
| topic_facet | Securities United States Cases Bankenaufsicht Wertpapierrecht USA |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=017091793&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
| work_keys_str_mv | AT soderquistlarryd securitiesregulation AT gabaldontheresaa securitiesregulation |