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Sum & Substance Audio CD: Securities Regulation

  • Edition : 4th ed., 2015
  • Author(s) : Cox
    • ISBN: 9781634592666
    • SKU: 50344
    • Condition: New
    • Format: Audio-CD

    $94.94

    List Price: $101.00

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This audio CD item brings a course on securities law to life simply and succinctly. You can learn the essential information by listening to tape while working, commuting, exercising, or relaxing.

5 Audio CDs, covering 6.25 hours!

Table of Contents includes:
Overview of the Securities Act of 1933 & Securities Exchange Act of 1934;
How SEC Shapes U.S.Securities Law;
Exchange Markets vs. Over-The-Counter Market;
Issuer & Trading Transactions;
Definitions of a Security;
Continuous Reporting Requirements Of The Security Exchange Act;
Content Of Securities Act Registration Statement;
Eligibility Requirements For Forms S-3, S-2, S-1, SB-1, and SB-2;
Registration Process;
Gun Jumping;
Dealers Obligation To Deliver Prospectus;
Shelf RegistrationUnder Rule 415;
Implications od SEC v.Manor Nursing Homes;
Transaction Exemptions Under Securities Act;
Regulation D Safe Harbors;
Integration of Exempt Offerings;
Rule 1001 Exemption;
Role Of Blue Sky Laws;
Rule 144a;
Resales Of Resticted Securities;
Sales By Control Person: Secondary Distributions;
State Exemption For Resales Of Securities;
Exempt Exchanges Under Section 3(A)(9);
Exemption Under 3(A)(10);
Regulation S Safe Harbors;
Liability Under Section 10(B) And Rule 10B-5;
The Regulation Of Brokers;
SEC Enforcement.
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