Securities regulation: essentials
Saved in:
| Main Authors: | , |
|---|---|
| Format: | Book |
| Language: | English |
| Published: |
Austin [u.a.]
Wolters Kluwer Law & Business [u.a.]
2008
|
| Subjects: | |
| Links: | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=026884280&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
| Physical Description: | XIX, 381 S. |
| ISBN: | 9780735565517 |
Staff View
MARC
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| 264 | 1 | |a Austin [u.a.] |b Wolters Kluwer Law & Business [u.a.] |c 2008 | |
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Record in the Search Index
| _version_ | 1819306829279133696 |
|---|---|
| adam_text | Table
of
Contents
Summary of Contents he
Preface
xvii
CHAPTER
1
Investors and Information
ι
1.
Investment Decisions
4
2.
Types of Securities
8
2.1.
Common Stock
8
2.2.
Bonds
10
2.3.
Preferred Stock
11
2.4.
Options
12
2.5.
Securities Market Transactions
13
3.
The Reaulatorv
Armaratus
18
CHAPTER
2
Information and Materiality
23
1.
How Does Disclosure Matter?
27
2.
Materiality
29
3.
The Reasonable Investor
31
4.
Significance and Rules of Thumb
34
5.
Significance and the Market Response
(Event Studies)
37
6.
Total Mix of Information
39
7.
Puffery
44
8.
Forward-Looking Information
45
9.
Management Integrity
49
XI
XII
Securities Regulation: The Essentials
CHAPTER
3
What Is a Security?
53
1.
Investment Contracts
55
1.1.
Investment of Money
57
1.2.
Common Enterprise
60
13.
Expectation of Profits
64
1.4.
Solely Through the Efforts of Others
67
1.5.
Alternative Regulatory Regimes
71
2.
Stock
72
3.
Note
74
4.
Other Financial Instruments
80
CHAPTER
4
Public Companies and Disclosure
83
1.
Which Companies Are Public ?
85
2.
Escaping Public Company Status
87
3.
Periodic Disclosure Requirements
89
4.
What Mechanisms Promote Accurate
Disclosure?
92
4.1.
Accurate Books and Records; Internal
Controls
93
4.2.
Auditor Independence
96
4.3.
Whistle-blowing
98
CHAPTER
5
Rule
ІОЬ-5
ιοί
1.
Securities Fraud and Private Rights of Action
102
2.
Standing and Representation
107
2.1.
Standing
107
2.2.
Class Action Representation
112
3.
Material Mis statement
115
3.1.
Omissions and the Duties to
Correct and Update
117
3.2.
Forward-Looking Statements
120
Table
of
Contents Xiii
t,
4.
S cien
ter
126
5.
Reliance
131
5.1.
Reliance and Omissions
132
5.2.
Reliance and Affirmative Misstatements
133
6.
Loss Causation
135
7.
Secondary Liability
140
8.
Damages
142
8.1.
Face-to-Face Damages
142
8.2.
Open Market Damages
143
8.3.
Proportionate Liability
145
CHAPTER
6
Insider Trading
149
1.
The Value of Insider Trading?
151
2.
Insider Trading Doctrine under Rule 10b-
5
155
2.1.
Chiarella
156
2.2.
Dirks
160
2.3.
O Hagan
163
3.
Rule
14Є-3
167
4.
Rules
10b5-l & -2
168
4.1.
Rule
10b5-l
169
4.2.
Rule 10b5-2
170
5.
Remedies
172
6.
How Must a Public Company Make
Its Disclosures?
173
7.
Section
16
179
CHAPTER
7
Public Offerings
183
The Public Offering Process
185
1.1.
Types of Public Offerings
186
1.2.
Steps in the Public Offering
188
The Regulation of Public Offerings
191
2.1.
What Is an Offer?
194
2.2.
The Gun-Jumping Rules
197
xiv
Securities Regulation: The Essentials
2.3.
Pre-Filing Period
199
2.4.
Waiting Period
214
2.5.
The Process of Going Effective
227
2.6.
Post-Effective Period
228
3.
Shelf Registration
240
3.1.
The Base Prospectus
245
3.2.
Updating in the Shelf Context
250
4.
Other Issues
252
4.1.
Securities Analysts
252
4.2.
Market Stabilization
253
4.3.
Lock-Up Agreements
254
CHAPTER
8
Civil Liability Under the
Securities Act
25 5
1.
Section
11
Liability
256
1.1.
Standing
257
1.2.
Defendants
260
1.3.
Elements of the Cause of Action
262
1.4.
Defenses
264
1.5.
Section
11
Damages
273
1.6.
Loss Causation
277
1.7.
Indemnification, Contribution, and
Joint and Several Liability
279
2.
Section 12(a)(l)
281
2.1.
Standing and Defendants
281
2.2.
Elements of the Cause of Action
284
2.3.
Defenses
284
2.4.
Remedies under Section 12(a)(l)
285
3.
Section 12(a)(2)
287
3.1.
Standing and Defendants
287
3.2.
Narrowing the Scope of Section 12(a)(2)
288
3.3.
Elements of the Cause of Action
291
3.4.
Loss Causation Defense
292
3.5.
Reasonable Care Defense
293
Table of Contents
xv
CHAPTER
9
Exempt Offerings
297
1.
Section
4(2)
298
2.
Regulation
D
306
2.1.
Aggregate Offering Price Ceiling
307
2.2.
Number of Purchasers and
Sophistication
309
2.3.
Disclosure
312
2.4.
Limitation on General Solicitation
315
2.5.
Resale Restrictions
319
2.6.
Integration Safe Harbor
321
2.7.
Form
D
Notice
324
2.8.
Innocent and Insignificant
Mistakes
325
2.9.
Reform to Regulation
D
329
3.
Other Exemptions from Section
5
330
3.1.
Regulation A
331
3.2.
Regulation
S
333
3.3.
Intrastate Offerings
335
3.4.
Exempt Securities
335
CHAPTER
10
Resale Transactions
337
1.
Section
4(1)
and Underwriters
339
1.1.
The Consequences of Underwriter
Status
343
1.2.
Change in Circumstances
344
1.3.
Distribution
346
2.
Control Person Resales
348
з.
Rule
144
353
3.1.
Information Requirement
354
3.2.
Holding Period
355
3.3.
Affiliate-Specific Rule
144
Requirements
360
3.4.
Manner of Sale
361
xvi
Securities Regulation: The Essentials
3.5.
Form
144
Notice
362
3.6.
Rule
144
Hypothetical
363
4.
Rule 144A
365
Index
3 73
|
| any_adam_object | 1 |
| author | Choi, Stephen J. 1966- Pritchard, Adam C. 1965- |
| author_GND | (DE-588)171378709 (DE-588)173818242 |
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| author_role | aut aut |
| author_sort | Choi, Stephen J. 1966- |
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| building | Verbundindex |
| bvnumber | BV041437444 |
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| geographic_facet | USA |
| id | DE-604.BV041437444 |
| illustrated | Not Illustrated |
| indexdate | 2024-12-20T16:47:19Z |
| institution | BVB |
| isbn | 9780735565517 |
| language | English |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-026884280 |
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| physical | XIX, 381 S. |
| publishDate | 2008 |
| publishDateSearch | 2008 |
| publishDateSort | 2008 |
| publisher | Wolters Kluwer Law & Business [u.a.] |
| record_format | marc |
| spellingShingle | Choi, Stephen J. 1966- Pritchard, Adam C. 1965- Securities regulation essentials Wertpapierrecht (DE-588)4065682-2 gnd |
| subject_GND | (DE-588)4065682-2 (DE-588)4078704-7 |
| title | Securities regulation essentials |
| title_auth | Securities regulation essentials |
| title_exact_search | Securities regulation essentials |
| title_full | Securities regulation essentials Stephen J. Choi ; A. C. Pritchard |
| title_fullStr | Securities regulation essentials Stephen J. Choi ; A. C. Pritchard |
| title_full_unstemmed | Securities regulation essentials Stephen J. Choi ; A. C. Pritchard |
| title_short | Securities regulation |
| title_sort | securities regulation essentials |
| title_sub | essentials |
| topic | Wertpapierrecht (DE-588)4065682-2 gnd |
| topic_facet | Wertpapierrecht USA |
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