Federal securities laws : selected statutes, rules and forms
著者
書誌事項
Federal securities laws : selected statutes, rules and forms
Foundation Press, c2022
- 2021-2022 ed
大学図書館所蔵 全2件
注記
"Including amendments received through September 3, 2021"--P. [1] of cover
内容説明・目次
内容説明
This volume serves as a federal securities laws supplement, providing selected statutes, rules, and forms. It is the most complete supplement available and is regularly updated and revised. Contents include the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, SEC Rules of Practice, and related federal laws. It contains many changes from the prior year's version, including:
Amendments to Regulation C;
Amendments to Regulations S-K, S-X, and S-T;
Amendments to Regulation 12B;
Amendments to Regulation 14A;
Amendments to Regulation of Security-Based Swap Dealers and Major Security-Based Swap Participants;
Amendments to Regulation NMS;
Amendments to Rules and Regulations under the Investment Company Act;
New Exchange Act Rule 17Ad-24 exempting certain activities of security-based swap dealers and security-based swap execution facilities from the definition of "clearing agency";
New Investment Company Act Rule 2a-5 regarding fair value determination and available market quotations with respect to funds;
New Investment Company Act Rule 31a-4 regarding record preservation by registered investment companies relating to fair value determination;
Amendments to various forms.
This edition has a cutoff date of September 3, 2021.
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