Securities Regulation: Selected Statutes, Rules, and Forms, 2009 Edition » (Older Edition)

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, Sixth Edition.

The 2009 Edition features:

• The Securities Exchange Act Rules:

• Rules and Forms
• Rule 10b-21, naked short sales
• 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
• Regulations S-K, S-X, M, SHO, M-A, AC, FD, and G
• Securities Act of 1933

• Rules and Forms
• SEC Rule 151a, defining the terms "annuity contract" and "optional annuity contract"
• Rules of Practice and Investigations (Standards of Professional Conduct for Attorneys)
• Staff Accounting Bulletins
• Sarbanes-Oxley Act 2002
• Investment Advisers Act of 1940
• Advisers Act Rules
• Investment Company Act of 1940
• Investment Company Act Rules