United States securities and investments regulation handbook
Author(s)
Bibliographic Information
United States securities and investments regulation handbook
（International securities and investments regulation series）
Graham & Trotman, 1992
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Note
Includes bibliographical references and index
Description and Table of Contents
Description
A succinct and practical handbook on the regulation of the US securities and investment markets. It begins with a survey of the current law, its purpose and distinct nature, which in turn leads to a survey of the various instruments. Systematically, the book then addresses the major legal issues involved in offers and sales of securities by a foreign company both within the US, and outside it, the Investment Company Act's application to non-US companies and the reporting obligations for foreign private issuers of securities. The regulation of acquisitions, of foreign broker-dealer and advisory activities in the US, and of futures and options are all described and analyzed. The final section concerns manipulation, broker-dealer retail fraud and compliance commodity market malpractices, and insider trading.
Table of Contents
- Offers and sales of securities by a non-US company in the United States
- securities financial techniques
- offers and sales by a foreign company outside the US
- the Investment Company Act 1940
- periodic reporting obligations of foreign issuers of securities
- regulation of acquisitions
- regulation of foreign broker-dealer and advisory activities in US
- US regulation of futures and options
- manipulation, broker-dealer retail fraud and compliance
- commodity market malpractices
- insider trading.
by "Nielsen BookData"