Overview
Designed specifically for the Securities Regulation course, this statutory supplement contains all of the relevant statutes, rules, and forms needed — in a remarkably concise and uncluttered format. A highly effective teaching tool, it is the ideal complement to any casebook for Securities Regulation, including but not exclusive to the authors' own Securities Regulation: Cases and Materials, Fifth Edition.
The 2008 Edition features:
- Securities Exchange Act Rules:
- Rules and Forms
- Rule 12h-6, deregistration of foreign issuers
- Rule 14a-16, Internet Availability of Proxy Materials
- Rule 14a-17, Internet shareholder forums
- Section 15A(14), the military sales clause
- Section 15E, regarding credit rating agencies
- Rule 17g-1 through 17g-6, new credit rating agency regulations
- SEC amendment to Rule 146(b)(2), adding new subsection (v) referencing "The Nasdaq Capital Market"
- The Investment Advisers Act
- Section 206(4)-8, hedge fund antifraud rule
- The Investment Advisers Act
- Regulation S-K: Item 308T. Internal Control over Financial Reporting and Item 407. Corporate Governance
- Regulation S-X: Rule 2-02T. Accountants' Reports and Attestation Reports on Management's Assessment of Internal Control over Financial Reporting
- Securities Act of 1933:
- Rules and Forms
- Rules of Practice and Investigations (Standards of Professional Conduct for Attorneys)
- Staff Accounting Bulletins
- Sarbanes-Oxley Act of 2002
- Investment Advisers Act of 1940
- Advisers Act Rules
- Investment Company Act of 1940
- Investment Company Act Rules
Synopsis
Designed specifically for the Securities Regulation course, this statutory supplement contains all of the relevant statutes, rules, and forms needed — in a remarkably concise and uncluttered format. A highly effective teaching tool, it is the ideal complement to any casebook for Securities Regulation, including but not exclusive to the authors' own Securities Regulation: Cases and Materials, Fifth Edition.
The 2008 Edition features:
• Securities Exchange Act Rules:
• Rules and Forms
• Rule 12h-6, deregistration of foreign issuers
• Rule 14a-16, Internet Availability of Proxy Materials
• Rule 14a-17, Internet shareholder forums
• Section 15A(14), the military sales clause
• Section 15E, regarding credit rating agencies
• Rule 17g-1 through 17g-6, new credit rating agency regulations
• SEC amendment to Rule 146(b)(2), adding new subsection (v) referencing "The Nasdaq Capital Market"
• The Investment Advisers Act
• Section 206(4)-8, hedge fund antifraud rule
• The Investment Advisers Act
• Regulation S-K: Item 308T. Internal Control over Financial Reporting and Item 407. Corporate Governance
• Regulation S-X: Rule 2-02T. Accountants' Reports and Attestation Reports on Management's Assessment of Internal Control over Financial Reporting
• Securities Act of 1933:
• Rules and Forms
• Rules of Practice and Investigations (Standards of Professional Conduct for Attorneys)
• Staff Accounting Bulletins
• Sarbanes-Oxley Act of 2002
• Investment Advisers Act of 1940
•Advisers Act Rules
• Investment Company Act of 1940
• Investment Company Act Rules