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Securities Law Treatises

Federal Securities Act of 1933. A. A. Sommer Jr.

KF1436.5 .F42 (Law Library's print subscription last updated in 2008)
Available on Lexis
This is the comprehensive treatise on the Securities Act of 1933, covering the organization of the SEC, definition of "security" and "sale," exempted securities and transactions, small issue exemptions, restricted and control securities, registration process, registration forms, registration of investment company securities, the Trust Indenture Act of 1939 and civil liabilities, SEC and criminal enforcement. Updated three times a year (Lexis).

 

Federal Securities Exchange Act of 1934. A. A. Sommer Jr.

KF1068.4 .G32 (Law Library's print subscription last updated in 2008)

Available on Lexis
This is the companion volume to the resource above, focusing on the Securities Exchange Act of 1934 registration and reporting requirements, Integrated Disclosure, proxy rules and proxy contests, insider trading and short-swing trading, registration and regulation of securities markets, broker-dealers, transfer agents, clearing agencies and SEC enforcement actions and private civil liabilities. Updated three times a year (Lexis).

 

 

Fundamentals of Securities Regulation. Louis Loss & Joel Seligman

KF1439 .L6

This concise summary of the basics of securities regulation provides a background of the SEC statutes, definitions and exemptions from the Securities Acts of 1933 and 1934, regulations of the securities markets, regulations of brokers, dealers and investment advisors, fraud, manipulation and liability. A Table of Cases and No-Action Letters is included.

 

 

Insider Trading: Regulation, Enforcement and Prevention. Donald C. Langevoort
KF1073 .I5 L363
Available on Westlaw
Thio treatise discusses the law of insider trading, including the fiduciary obligations of corporate insiders, liability of persons receiving material nonpublic information, government enforcement of the insider trading prohibition, private rights of action, recovery under section 16(b) of the Securities Exchange Act of 1934, and institutional liability for insider trading. Updated annually.

 

The Law of Securities Regulation. Thomas Lee Hazen
KF1439 .H39
Available on Westlaw
This multi-volume treatise covers the specifics of regulating the securities industry, including registration requirements, IPOs, liability, blue sky laws, tender offer, takeovers, proxy regulation and much more. The final volume of the set includes a table of cases and administrative material, a table of statutes and extensive indexing. Updated by pocket parts and bound supplements.

 

Securities and Federal Corporate Law. Harold S. Bloomenthal & Samuel Wolff
KF1439 .B54 (Law Library's print subscription last updated in 2009)
Available on Westlaw
This multi-volume treatise discusses the Sarbanes-Oxley Act, PCAOB, Corporate Governance, public offering process, Rule 144A and private placements, registration and reporting under the Exchange Act, proxy regulation, tender offers, the Private Securities Litigation Reform Act, statute of limitations, small business disclosure, EDGAR, multi-jurisdictional disclosure, the Blue Sky law, and international capital markets.

 

 

Securities Regulation.   Louis Loss, Joel Seligman & Troy Paredes

KF1070 .L6

Available on CCH

The 4th edition of this multi-volume set provides comprehensive coverage including the Legislative History of the Sarbanes Oxley Act. Updated with pocket parts and eventually new volumes.

Securities Regulation in a Nutshell. Thomas Lee Hazen
KF1440 .R37

This nutshell introduces the regulation of securities. Topics covered include the regulation of public offerings, publicly-held companies, securities business, and investment companies, as well as sanctions for violations, civil liabilities, extraterritorial application and state regulation.

 

Understanding Securities Law. Marc I. Steinberg
KF1440 .S74
This study aid is intended to provide students with a general understanding of the basic issues encountered in a Securities Regulation class. It focuses on the Securities Act of 1933 and the Securities Exchange Act of 1934.

 

 

 

Updated 09/08 (MK) ; 4/10 (SS); 9/11 (ET)

 

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