Understanding Securities Law,Used

Understanding Securities Law,Used

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This Understanding treatise follows a logical sequence of analysis of a securities issue. The author begins by defining a ''security'' and registration exemptions, and then continues through the process for nonexempt transactions. Understanding Securities Law clearly, thoroughly, and concisely addresses the subjects covered in basic Securities Regulation courses, including:The definition of securities exemptions from registration; the registration framework and process; SarbanesOxley Act; SEC Securities Act Offering Rules; Resales and reorganizations; Due diligence; Liabilities and remedies; Affirmative disclosure duties; Insider trading; SEC enforcement; and Professional responsibility.The author also includes a glossary of key terms, statutes, rules, regulations and forms and schedules, and comparative charts synopsizing previously discussed materials. The text covers the regulation of public and privately held companies under the Securities Acts, SEC ''fraud'' concepts, civil liabilities under the securities laws, and state ''Blue Sky'' laws. It also discusses the SarbanesOxley legislation, SEC public offering rules, SEC regulations on the resale of securities, and recent federal Supreme Court and appellate court decisions.

⚠️ WARNING (California Proposition 65):

This product may contain chemicals known to the State of California to cause cancer, birth defects, or other reproductive harm.

For more information, please visit www.P65Warnings.ca.gov.

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