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Vol 23 No 5 May/June 2018

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Hazen's Treatise on the Law of Securities Regulation: Volume 6 7th

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ISBN13: 9780314844538
Published: March 2016
Publisher: Thomson West
Country of Publication: US
Format: Hardback
Price: £35.00

Despatched in 10 to 12 days.

This is Volume 6 from the 7-Volume Treatise on the Law of Securities Regulation..

Volume 6 covers Chapter 16 Section 18 to Chapter 23 Section 8.

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Other Jurisdictions , Banking and Finance, USA
Volume 6

Chapter 16: Operation of the Securities and Exchange Commission
Part II. SEC investigatory and adjudicatory process and SEC rulemaking
Part III. SEC investigations
Part V. (sic) SEC interpretative advice
Part VI. Procedures for SEC filings and exemptive orders
Part VII. SEC rulemaking procedures
Part IV. (sic) Access to information
Part VIII. SEC structure, divisions and offices

Chapter 17: Jurisdictional aspects of the Federal Securities Laws

Chapter 18: The SEC's former role in public utility regulation: The history of the repealed Public Utility Holding Company Act of 1935 and transfer of authority from the SEC to the Federal Energy Regulatory Commission

Chapter 19: Debt securities and protection of bondholders - the Trust Indenture Act of 1939

Chapter 20: Federal regulation of investment companies - The Investment Company Act of 1940
Part I. Scope of investment company act regulation
Part II. Definition of investment companies
Part III. Exemptions and exclusions from the Investment Company Act
Part IV. Classification of investment companies
Part V. Distribution and pricing of investment company shares
Part VI. Investment company governance and fiduciary duties
Part VII. Investment company act registration, reporting, and relationship to investment adviser
Part VIII. Civil liabilities

Chapter 21: Investment Advisers Act of 1940

Chapter 22: Overview of related laws

Chapter 23: Overview of related laws dealing with securities transfers