證券管理法

作者簡介

大衛(wèi)·L·拉特那：曾任蘇利文和克倫威爾律師事務(wù)所律師、康奈爾大學(xué)教授、美國證券交易委員會主訕的執(zhí)行助理、美國參議院銀行業(yè)委員會的主要顧問、舊金山大學(xué)法學(xué)院院長，現(xiàn)為該法學(xué)院教授。

書籍目錄

PREFACEPABLE OF CASESTABLE OF STATUTES AND RULES1、INTRODUCTION 1.The Securities Markets 2.State and Federal Securites Laws 3.The Securities and Exchange Commission 4.Sources of Securities Law 5.Where to Find the Law 6.The Definiton of “Security”2、REGULATION OF PUBLIC OFFERINGS 7.1933 Act Disclosure Requirements 8.The Registration Process 9.The Operation of 5 10.Exemptions From the 1933 Act 11.Civil Liability for Misstatements3、REGULATION OF PUBLICLYHELD COMPANIES4、ANTIFRAUD PROVISIONS5、REGULATION OF THE SECURITIES BUSINESS6、REGULATION OF INVESTMENT COMPANIES7、CIVIL LIABILITIES8、EXPRATERRITORIAL APPLICATION9、STATE REGULATIONINDEX、、

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