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This securities law guide is used by experienced securities lawyers, general practitioners, accountants, investment advisors, and investors.
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|Part I: Background||Traces the evolution of the securities laws and their purpose, outlines various securities statutes and the SEC s general rules and regulations, discusses research considerations, describes the SEC s administrative organization and procedures, summarizes approaches taken in state Blue Sky Laws and the limits of state authority over securities, and identifies Dodd-Frank as providing major big name revisions to the 1933 and 1934 Acts|
|Part II: The Regulation of Securities||Explains the present requirements of the Acts and highlights their application to public companies, corporate directors, officers, and insiders, as well as broker-dealers; covers the latest SEC rules and regulations, interpretive releases, and no-action letters, as well as PCAOB rules and judicial decisions that apply, and interprets the regulatory scheme; discusses Dodd-Frank and Sarbanes-Oxley in their entireties|
|Part III: Enforcement of Violations||Analyzes the civil and criminal liability provisions of the two Acts, including those triggering enforcement by SEC and PCAOB, as well as private securities litigation|
|Part IV: International Securities Transactions||Discusses how these laws apply to international securities transactions, such as public offerings to U.S. investors by foreign issuers and public offerings by U.S. issuers to foreign investors|
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