Federal Securities Laws : Selected Statutes, Rules and Forms

by Jennings, Richard W.; Marsh, Harold, Jr; Coffee, John C., Jr; Seligman, Joel

• ISBN13: 9781566629010
• ISBN10: 1566629012
• Edition: 3rd
• Format: Paperback
• Copyright: 2000-09-01
• Publisher: West Information Pub Group

Table of Contents

Preface	iii
Federal Securities Laws and Regulations	1	(1622)
Securities Act of 1933	1	(492)
Rules and Regulations Under the Securities Act of 1933	41	(7)
General Rules and Regulations	48	(46)
Regulation A---Conditional Small Issues Exemptions	94	(9)
Regulation C---Registration	103	(65)
Regulation D---Rules Governing the Limited Offer and Sale of Securities Without Registration Under the Securities Act of 1933	168	(11)
Regulation E---Exemptions for Securities of Small Business Investment Companies [Omitted]	179	(1)
NASAA, Uniform Limited Offering Exemption	179	(12)
Regulation S---Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933	191	(12)
Regulation S-B---Part 228---Integrated Disclosure System for Small Issuers	203	(49)
Regulation S-K---Standard Instructions for Filing Forms Under Securities Act of 1933, Securities Exchange Act of 1934 and Energy Policy and Conservation Act of 1975	252	(107)
Regulation M-A---Mergers and Requisitions	359	(13)
Regulation S-T---General Rules and Regulations for Electronic Filings	372	(18)
Forms Under the Securities Act of 1933	390	(1)
Forms Pursuant to Regulation A	390	(1)
Forms 1-A	390	(33)
Forms 2-A	423	(2)
Registration and Other Forms Under the 1933 Act	425	(1)
Form S-1	425	(5)
Form S-2	430	(8)
Form S-3	438	(8)
Form S-4	446	(17)
Form S-8	463	(10)
Form SB-1	473	(5)
Form SB-2	478	(5)
Form 144	483	(2)
Form D	485	(8)
Securities Exchange Act of 1934	493	(772)
Rules and Regulations Under the Securities Exchange Act of 1934	663	(510)
Regulations M and ATS	1173	(20)
Forms Under the Securities Exchange Act of 1934	1193	(1)
Form 3	1193	(6)
Form 4	1199	(7)
Form 5	1206	(8)
Form 8-A	1214	(4)
Form 10	1218	(4)
Form 10-SB	1222	(3)
Form 10-Q	1225	(7)
Form 10-QSB	1232	(6)
Form 10-K	1238	(10)
Form 10-KSB	1248	(7)
Form 6-K	1255	(3)
Form 8-K	1258	(7)
Investment Company Act of 1940	1265	(249)
Rules and Regulations	1354	(160)
Investment Advisers Act of 1940	1514	(52)
Rules and Regulations	1536	(30)
SEC Rules of Practice	1566	(57)
Related Federal Laws	1623	(68)
Commodity Exchange Act (Selected Provisions)	1623	(30)
General Regulations Under the Commodity Exchange Act (Excerpt)	1653	(2)
Bankruptcy Reform Act of 1978 (Excerpts)	1655	(4)
Foreign Corrupt Practices Act of 1977 (Excerpt)	1659	(8)
Racketeer Influenced and Corrupt Organizations Act	1667	(11)
Mail and Wire Fraud Statutes	1678	(1)
Bank Holding Company Act of 1956 (Excerpts)	1679	(8)
Hart-Scott-Rodino Antitrust Improvements Act of 1976 (Excerpts)	1687	(4)
State Securities Laws	1691	(1)
Uniform Securities Act (1956)	1691	(24)
Uniform Securities Act (1985) With 1988 Amendments	1715