Securities Regulation: Examples & Explanations

By Aspen Publishers

Book Overview

Noted author Alan Palmiter sends a lifeboat to students of Securities Regulation in this carefully-crafted study guide. In the highly-regarded style of the Examples & Explanations Series that instructors know they can trust, Palmiter provides textual overviews of the key concepts of the course, followed by examples to test student understanding, and suggested answers To The examples. SECURITIES REGULATION: Examples and Explanations opens with an overview of Securities Markets and Regulation And The Definition of a Security, followed by coverage of: Materiality Registration of Securities Offerings Exemptions from Securities Act Registration Securities Act Liability Secondary and other Post-Offering Distributions Securities Exchange Act of 1934 Rule 10b-5 Insider Trading SEC Enforcement Palmiter also covers topics that sometimes receive cursory attention in class but are important on exams and in practice: Regulation of Securities Professionals U.S. Regulation of Cross-Border Securities Transactions Many of the examples and explanations in the book are drawn from newsworthy events, such as: the initial public offering of Microsoft in 1986 the recent emergence of internet trading a famous securities fraud case that bounced its way To The Supreme Court on a number of occasions With its timely examples, illuminating text, and proven effective format, SECURITIES REGULATION: Examples and Explanations makes it easier for students to learn -- and instructors to teach -- this important but difficult subject.

• Format: Paperback
• Language: English
• ISBN: 1567066372
• ISBN13: 9781567066371
• Release Date: January 1998
• Publisher: Aspen Publishers
• Length: 415 Pages
• Weight: 1.70 lbs.

Customer Reviews

Solid overview of the subject.

Highly recommended for the 2 and 3Ls struggling through SecReg also useful (but not to the same extent) for SecLit and SecMarketReg and for the Corporation/BusAssoc Course that dives heavily into 10b-5. Only quibbles (that prevent it from getting 5 stars).Rule 144/144A coverage is weak. Should expand the proxy (Exchange Act Section 14) coverage as schools/professors have slightly different lesson plans and some SecReg course may cover it in more detail. Also foreign private issuer Rule 3b-4/12g information was absent.

Extremely easy to understand

I bought this book while taking a Securities Regulation course in law school. I would encourage anyone studying the subject to purchase it. The SEC Regs are complicated and hard to understand. This book takes you through the whole subject in a very concise and thorough way. The examples and explanations are extremely helpful in preparation for a law school exam and helped me get a high grade. The only downer about the book is it is two years old and therefore lacks discussion of Reg FD and other important Regs from the past two years.