Securities regulation: cases and analysis
Gespeichert in:
| Hauptverfasser: | , |
|---|---|
| Format: | Buch |
| Sprache: | English |
| Veröffentlicht: |
St. Paul, MN
Foundation Press
[2015]
|
| Ausgabe: | Fourth edition |
| Schriftenreihe: | University casebook series
|
| Online-Zugang: | Inhaltsverzeichnis |
| Beschreibung: | XXIX, 860 Seiten |
| ISBN: | 9781609304195 |
Internformat
MARC
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| 245 | 1 | 0 | |a Securities regulation |b cases and analysis |c by Stephen J. Choi, A. C. Pritchard |
| 250 | |a Fourth edition | ||
| 264 | 1 | |a St. Paul, MN |b Foundation Press |c [2015] | |
| 300 | |a XXIX, 860 Seiten | ||
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Datensatz im Suchindex
| _version_ | 1804174752762298368 |
|---|---|
| adam_text | SUMMARY OF CONTENTS
PREFACE...........................................................V
Editorial Note and Acknowledgments...............................vn
Table of Cases................................................xxvii
Chapter 1. Introduction to the Securities Markets and Securities
Regulation........................................................1
I. The Basics...................................................1
II. Types of Securities..........................................2
III. The Capital Market...........................................8
IV. Investment Decisions........................................15
V. Who Provides Information to Investors?......................20
VI. The Regulatory Apparatus....................................33
Chapter 2. Materiality...........................................47
I. What Matters to Investors?..................................47
II. Forward-Looking Information.................................49
III. Objective Tests of Materiality..............................57
IV. The “Total Mix”.............................................76
V. Management Integrity........................................84
Chapter 3. The Definition of a “Security”........................95
I. Do the Securities Laws Apply?...............................95
II. “Investment Contract”.......................................98
III. “Stock”....................................................142
IV. “Note”.....................................................147
V. Securitization.............................................156
Chapter 4. Disclosure and Accuracy..............................161
I. Mandatory Disclosure and Accuracy..........................161
II. What Is a “Public Company?.................................163
III. When Must a Public Company Disclose?.......................169
IV. Accuracy of Disclosure.....................................182
V. The Problem of Selective Disclosure........................188
Chapter 5. Rule 10b-5 Antifraud.................................197
I. The Economics of Securities Fraud and Private Rights of Action.197
II. Who Can Sue Under Rule 10b-5?..............................205
III. Elements of the Cause of Action............................227
IV. Rule 10b-5 Defendants......................................289
V. Damages....................................................311
VI. Transnational Securities Fraud.............................317
Chapter 6. Insider Trading......................................329
I. Economics of Insider Trading...............................329
II. Insider Trading at Common Law..............................331
III. Rule 10b-5 and the Classical Theory of Insider Trading.....336
IV. The Misappropriation Theory................................362
x Summary of Contents
V. Section 16...................................................387
Chapter 7. Public Offerings.......................................393
I. Economics of Public Offerings................................393
II. The Gun-Jumping Rules...................................... 406
III. Public Offering Trading Practices............................452
IV. Shelf Registration...........................................458
Chapter 8. Civil Liability Under the Securities Act...............467
I. Public Offerings, Uncertainty and Information Asymmetry......467
II. Section 11 Liability.........................................468
III. Section 12(a)(1).............................................522
IV. Section 12(a)(2) Liability...................................530
Chapter 9. Exempt Offerings.......................................549
I. Introduction.................................................549
II. Section 4(a)(2) Offerings....................................550
III. Regulation D.................................................559
IV. Regulation A.................................................588
V. Crowdfunding.................................................605
VI. Intrastate Offerings.........................................612
VII. Regulation S.................................................627
Chapter 10. Secondary Market Transactions.........................641
I. Introduction.................................................641
II. Transaction and Underwriter?.................................643
III. Control Persons’ Resales.....................................652
IV. Rule 144.....................................................658
V. Rule 144A....................................................669
Chapter 11. Federal Regulation of Shareholder Voting..............677
I. Introduction.................................................677
II. Solicitation of Proxies......................................679
III. Shareholder Democracy........................................699
Chapter 12. Gatekeepers...........................................725
I. Gatekeeping..................................................725
II. Outside Directors............................................727
III. The Independent Auditor......................................736
IV. The Role of Lawyers in Enforcing the Securities Laws.........739
V. Credit Rating Agencies.......................................746
VI. Whistleblowers...............................................756
Chapter 13. Public Enforcement....................................765
I. SEC Enforcement..............................................765
II. Scope of SEC Enforcement.....................................766
III. SEC Investigations...........................................770
IV. Enforcement Proceedings.................................... 789
Index.............................................................827
|
| any_adam_object | 1 |
| author | Choi, Stephen J. 1966- Pritchard, Adam C. 1965- |
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| discipline | Rechtswissenschaft |
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| id | DE-604.BV042590940 |
| illustrated | Not Illustrated |
| indexdate | 2024-07-10T07:05:23Z |
| institution | BVB |
| isbn | 9781609304195 |
| language | English |
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| physical | XXIX, 860 Seiten |
| publishDate | 2015 |
| publishDateSearch | 2015 |
| publishDateSort | 2015 |
| publisher | Foundation Press |
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| series2 | University casebook series |
| spelling | Choi, Stephen J. 1966- Verfasser (DE-588)171378709 aut Securities regulation cases and analysis by Stephen J. Choi, A. C. Pritchard Fourth edition St. Paul, MN Foundation Press [2015] XXIX, 860 Seiten txt rdacontent n rdamedia nc rdacarrier University casebook series Pritchard, Adam C. 1965- Verfasser (DE-588)173818242 aut Digitalisierung UB Passau - ADAM Catalogue Enrichment application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=028024176&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Choi, Stephen J. 1966- Pritchard, Adam C. 1965- Securities regulation cases and analysis |
| title | Securities regulation cases and analysis |
| title_auth | Securities regulation cases and analysis |
| title_exact_search | Securities regulation cases and analysis |
| title_full | Securities regulation cases and analysis by Stephen J. Choi, A. C. Pritchard |
| title_fullStr | Securities regulation cases and analysis by Stephen J. Choi, A. C. Pritchard |
| title_full_unstemmed | Securities regulation cases and analysis by Stephen J. Choi, A. C. Pritchard |
| title_short | Securities regulation |
| title_sort | securities regulation cases and analysis |
| title_sub | cases and analysis |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=028024176&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
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