简介
Hazens 2007 Securities Regulation Selected Statutes contains the latest SEC rulemaking including its new executive compensation disclosures that are not available in most other statutory supplements. Hazen s Selected Statutes is comprehensive and presented in readable format and the index make the material more accessible than in other statutory supplements. It includes new rules and forms adopted through September 15, 2006. While containing all of the statutes and rules needed for both basic and advanced courses in securities regulation, Hazen s Selected Statutes has more user-friendly features than the competition, including single rather than double column format. Also, unlike other statutory supplements on the subject, Hazen s Selected Statutes contains a helpful index to make it easier for students to locate statutes and rules. For instructors who do not require the comprehensive treatment in the standard edition, the 2007 Selected Statutes will also be published in an abridged version which contains sufficient materials from most introductory securities regulation classes.
目录
Table Of Contents:
Preface iii
I. FEDERAL SECURITIES LAWS AND REGULATIONS 1(1858)
Securities Act of 1933 (15 USCA § 77.__) 1(365)
Rules and Regulations Under Securities Act of 1933 (17 CFR § 230.__) 46(186)
Forms Under Securities Act of 1933 (17 CFR § 239.__) 232(134)
Disclosure Guides 366(256)
Regulation S-K--General Rules (17 CFR § 229.__) 366(161)
Regulation S-B---Integrated Disclosure System for Small Business Issuers (17 CFR § 228__) 527(77)
Regulation G (17 CFR § 244.__) 604(3)
Regulation S-X---Qualifications and Reports of Accountants (17 CFR § 210.__) 607(15)
SEC Procedural Rules 622(85)
Rules of Practice (17 CFR § 201.__) 622(74)
Informal and Other Procedures (17 CFR § 202.__) 696(8)
Rules Relating to Investigations (17 CFR § 203.__) 704(3)
Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer (17 CFR § 205.__) 707(8)
Securities Exchange Act of 1934, Rules, and Forms (15 USCA § 78.__) 715(816)
Sarbanes--Oxley Act of 2002 928(50)
Rules and Regulations Under Securities Exchange Act of 1934 (17 CFR § 240.__) 978(367)
Selected Forms Under Securities Exchange Act of 1934 (17 CFR § 249.__) 1345(112)
Selected Schedules Under the Securities Exchange Act of 1934 (17 CFR § 240.__) 1457(74)
Other Selected Regulations 1531(108)
Regulation M (17 CFR § 242.__) 1532(13)
Regulation SHO 1545(5)
Regulation ATS---Alternative Trading Systems (17 CFR § 242.__) 1550(9)
Customer Margin Requirements for Security Futures (17 CFR § 242.__) 1559(10)
Regulation AC---Analyst Certification (17 CFR § 242.__) 1569(4)
Regulation NMS--Regulation of the National Market System (17 CFR § 242.__) 1573(28)
Regulation F--D: Selective Disclosure (17 CFR § 243.__) 1601(4)
Regulation BTR: Blackout Trading Restriction (17 CFR § 245.__) 1605(8)
Regulation S--P: Privacy of Consumer Financial Information (17 CFR § 248.__) 1613(26)
Investment Company Act of 1940 and Rules (15 USCA § 80a.__) 1639(174)
Selected Rules and Regulations Under Investment Company Act of 1940 (17 CFR § 270.__) 1737(76)
Investment Advisers Act of 1940 and Rules (15 USCA § 80b.__) 1813(46)
Selected Rules and Regulations Under Investment Advisers Act of 1940 (17 CFR § 275.__) 1837(22)
II. RELATED LAWS AND REGULATIONS 1859
Mail and Wire Fraud Statutes (18 USCA §§ 1341 through 1346) 1859
Preface iii
I. FEDERAL SECURITIES LAWS AND REGULATIONS 1(1858)
Securities Act of 1933 (15 USCA § 77.__) 1(365)
Rules and Regulations Under Securities Act of 1933 (17 CFR § 230.__) 46(186)
Forms Under Securities Act of 1933 (17 CFR § 239.__) 232(134)
Disclosure Guides 366(256)
Regulation S-K--General Rules (17 CFR § 229.__) 366(161)
Regulation S-B---Integrated Disclosure System for Small Business Issuers (17 CFR § 228__) 527(77)
Regulation G (17 CFR § 244.__) 604(3)
Regulation S-X---Qualifications and Reports of Accountants (17 CFR § 210.__) 607(15)
SEC Procedural Rules 622(85)
Rules of Practice (17 CFR § 201.__) 622(74)
Informal and Other Procedures (17 CFR § 202.__) 696(8)
Rules Relating to Investigations (17 CFR § 203.__) 704(3)
Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer (17 CFR § 205.__) 707(8)
Securities Exchange Act of 1934, Rules, and Forms (15 USCA § 78.__) 715(816)
Sarbanes--Oxley Act of 2002 928(50)
Rules and Regulations Under Securities Exchange Act of 1934 (17 CFR § 240.__) 978(367)
Selected Forms Under Securities Exchange Act of 1934 (17 CFR § 249.__) 1345(112)
Selected Schedules Under the Securities Exchange Act of 1934 (17 CFR § 240.__) 1457(74)
Other Selected Regulations 1531(108)
Regulation M (17 CFR § 242.__) 1532(13)
Regulation SHO 1545(5)
Regulation ATS---Alternative Trading Systems (17 CFR § 242.__) 1550(9)
Customer Margin Requirements for Security Futures (17 CFR § 242.__) 1559(10)
Regulation AC---Analyst Certification (17 CFR § 242.__) 1569(4)
Regulation NMS--Regulation of the National Market System (17 CFR § 242.__) 1573(28)
Regulation F--D: Selective Disclosure (17 CFR § 243.__) 1601(4)
Regulation BTR: Blackout Trading Restriction (17 CFR § 245.__) 1605(8)
Regulation S--P: Privacy of Consumer Financial Information (17 CFR § 248.__) 1613(26)
Investment Company Act of 1940 and Rules (15 USCA § 80a.__) 1639(174)
Selected Rules and Regulations Under Investment Company Act of 1940 (17 CFR § 270.__) 1737(76)
Investment Advisers Act of 1940 and Rules (15 USCA § 80b.__) 1813(46)
Selected Rules and Regulations Under Investment Advisers Act of 1940 (17 CFR § 275.__) 1837(22)
II. RELATED LAWS AND REGULATIONS 1859
Mail and Wire Fraud Statutes (18 USCA §§ 1341 through 1346) 1859
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