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Securities regulation: cases and analysis

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Bibliographic Details
Main Authors:	Choi, Stephen J. 1966- (Author), Pritchard, Adam C. 1965- (Author)
Format:	Book
Language:	English
Published:	St. Paul, MN Foundation Press [2015]
Edition:	Fourth edition
Series:	University casebook series
Links:	http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=028024176&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA
Physical Description:	XXIX, 860 Seiten
ISBN:	9781609304195

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Record in the Search Index

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adam_text	SUMMARY OF CONTENTS PREFACE...........................................................V Editorial Note and Acknowledgments...............................vn Table of Cases................................................xxvii Chapter 1. Introduction to the Securities Markets and Securities Regulation........................................................1 I. The Basics...................................................1 II. Types of Securities..........................................2 III. The Capital Market...........................................8 IV. Investment Decisions........................................15 V. Who Provides Information to Investors?......................20 VI. The Regulatory Apparatus....................................33 Chapter 2. Materiality...........................................47 I. What Matters to Investors?..................................47 II. Forward-Looking Information.................................49 III. Objective Tests of Materiality..............................57 IV. The “Total Mix”.............................................76 V. Management Integrity........................................84 Chapter 3. The Definition of a “Security”........................95 I. Do the Securities Laws Apply?...............................95 II. “Investment Contract”.......................................98 III. “Stock”....................................................142 IV. “Note”.....................................................147 V. Securitization.............................................156 Chapter 4. Disclosure and Accuracy..............................161 I. Mandatory Disclosure and Accuracy..........................161 II. What Is a “Public Company?.................................163 III. When Must a Public Company Disclose?.......................169 IV. Accuracy of Disclosure.....................................182 V. The Problem of Selective Disclosure........................188 Chapter 5. Rule 10b-5 Antifraud.................................197 I. The Economics of Securities Fraud and Private Rights of Action.197 II. Who Can Sue Under Rule 10b-5?..............................205 III. Elements of the Cause of Action............................227 IV. Rule 10b-5 Defendants......................................289 V. Damages....................................................311 VI. Transnational Securities Fraud.............................317 Chapter 6. Insider Trading......................................329 I. Economics of Insider Trading...............................329 II. Insider Trading at Common Law..............................331 III. Rule 10b-5 and the Classical Theory of Insider Trading.....336 IV. The Misappropriation Theory................................362 x Summary of Contents V. Section 16...................................................387 Chapter 7. Public Offerings.......................................393 I. Economics of Public Offerings................................393 II. The Gun-Jumping Rules...................................... 406 III. Public Offering Trading Practices............................452 IV. Shelf Registration...........................................458 Chapter 8. Civil Liability Under the Securities Act...............467 I. Public Offerings, Uncertainty and Information Asymmetry......467 II. Section 11 Liability.........................................468 III. Section 12(a)(1).............................................522 IV. Section 12(a)(2) Liability...................................530 Chapter 9. Exempt Offerings.......................................549 I. Introduction.................................................549 II. Section 4(a)(2) Offerings....................................550 III. Regulation D.................................................559 IV. Regulation A.................................................588 V. Crowdfunding.................................................605 VI. Intrastate Offerings.........................................612 VII. Regulation S.................................................627 Chapter 10. Secondary Market Transactions.........................641 I. Introduction.................................................641 II. Transaction and Underwriter?.................................643 III. Control Persons’ Resales.....................................652 IV. Rule 144.....................................................658 V. Rule 144A....................................................669 Chapter 11. Federal Regulation of Shareholder Voting..............677 I. Introduction.................................................677 II. Solicitation of Proxies......................................679 III. Shareholder Democracy........................................699 Chapter 12. Gatekeepers...........................................725 I. Gatekeeping..................................................725 II. Outside Directors............................................727 III. The Independent Auditor......................................736 IV. The Role of Lawyers in Enforcing the Securities Laws.........739 V. Credit Rating Agencies.......................................746 VI. Whistleblowers...............................................756 Chapter 13. Public Enforcement....................................765 I. SEC Enforcement..............................................765 II. Scope of SEC Enforcement.....................................766 III. SEC Investigations...........................................770 IV. Enforcement Proceedings.................................... 789 Index.............................................................827
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spellingShingle	Choi, Stephen J. 1966- Pritchard, Adam C. 1965- Securities regulation cases and analysis
title	Securities regulation cases and analysis
title_auth	Securities regulation cases and analysis
title_exact_search	Securities regulation cases and analysis
title_full	Securities regulation cases and analysis by Stephen J. Choi, A. C. Pritchard
title_fullStr	Securities regulation cases and analysis by Stephen J. Choi, A. C. Pritchard
title_full_unstemmed	Securities regulation cases and analysis by Stephen J. Choi, A. C. Pritchard
title_short	Securities regulation
title_sort	securities regulation cases and analysis
title_sub	cases and analysis
url	http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=028024176&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA
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