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米国証券取引法:卓上版 第7版 全2巻

Fundamentals of Securities Regulation, 7th Edition

Joel Seligman, Troy A. Paredes, the late Louis Loss

2 vols. 2300 p. Hard., 2018年7月刊行予定(追録刊行予定)

Aspen Publishers, USA. ISBN: 9781543802757

予価 ¥103,424

在庫あり

米国証券法の最重要文献として知られる故Louis Loss教授の"Securities Regulation"(全11巻)の卓上版。要約版でありながら、初版以降200を超える判決文中に引用されている文献です。

【Table of Contents】

VOLUME 1

CHAPTER 1. BACKGROUND OF THE SEC STATUTES

A. Of Bubbles and Giants

B. State Regulation of Securities

C. The Battle of the Philosophies

D. A Telescopic Preview of the SEC Statutes

E. The Federal Securities Code F. The Securities and Exchange Commission

CHAPTER 2. FEDERAL REGULATION OF THE DISTRIBUTION OF SECURITIES

A. Distribution Techniques

B. The Basic Prohibitions of §5

C. The Registration Procedure

D. Contents of the Registration Statement and Prospectus (the SEC’s Accounting Role)

E. International Offerings

CHAPTER 3. COVERAGE OF THE SECURITIES ACT OF 1933: DEFINITIONS AND EXEMPTIONS

A. Definitions

B. Exempted Securities

C. Exempted Transactions

D. Resales of Control and Restricted Securities

CHAPTER 4. PROTECTIVE COMMITTEE REFORM: THE TRUST INDENTURE ACT OF 1939 AND SEC FUNCTIONS UNDER THE BANKRUPTCY CODE

A. The Trust Indenture Act

B. The SEC’s Functions in Bankruptcy Proceedings

CHAPTER 5. CONTROL CONCEPTS UNDER THE SEC STATUTES

A. The Statutory Contexts

B. Determinants of Control

CHAPTER 6. REGISTRATION AND POSTREGISTRATION PROVISIONS OF THE 1934 ACT

A. Registration

B. Reporting Requirements

C. Proxies

D. Tender Offers

E. Insider Trading

F. Sarbanes-Oxley Act Amendments

CHAPTER 7. REGULATION OF THE SECURITIES MARKETS

A. Structure of the Securities Markets

B. Securities Exchanges

C. Securities Associations

D. Brokerage Commission Rate Regulation

VOLUME 2

CHAPTER 8. REGULATION OF BROKERS, DEALERS, AND INVESTMENT ADVISERS

A. Broker-Dealer Registration

B. Broker-Dealer Substantive Regulation

C. Investment Advisers

CHAPTER 9. FRAUD

A. Common Law and SEC Fraud

B. Issuers and Insiders

C. Brokers and Dealers

D. Fraud by Investment Advisers

E. Use of the Mails or Interstate Facilities

CHAPTER 10. MANIPULATION

A. A Classic Portrait of Market Manipulation

B. Manipulation before the SEC

C. Manipulation of the Securities Exchanges under the SEC Statutes

D. Manipulation of the Over-the-Counter Market under the SEC Statutes

E. Stabilization

F. Resale Price Maintenance

CHAPTER 11. CIVIL LIABILITY

A. Common Law and Equity

B. Blue Sky Laws and the Securities Litigation Uniform Standards Act of 1998

C. SEC Statutes

D. General Provisions

CHAPTER 12. GOVERNMENT LITIGATION

A. Injunction

B. Criminal Prosecution

C. Judicial Review of SEC Orders

D. Res Judicata and Collateral Estoppel

E. The Commission as Amicus Curiae

CHAPTER 13. SEC ADMINISTRATIVE LAW

A. Securities Lawyers

B. Investigation

C. QuasijudicialProceedings

D. Statutory Remedies

E. Rulemaking

F. Confidential Treatment

CHAPTER 14. CONFLICT OF LAWS, PROCEDURAL ASPECTS, AND GLOBALIZATION

A. Jurisdiction and Venue

B. Interstate Choice of Law

C. International Aspects

 

Table of Cases

Table of No-Action and Interpretive Letters

Table of SEC Releases

Table of Statutory Citations

Table of Rule Citations

Table of Item Citations

Table of Form Citations

Index