Securities Regulation


By Marc I. Steinberg

cover image of Securities Regulation

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The coverage of this text is designed for both the basic securities regulation course and for advanced seminars. In addition to case law, the text includes other relevant material such as SEC releases and scholarly commentary. The problem method is used extensively. Securities Regulation covers the traditional issues as well as the developing areas. Subjects that receive extensive treatment include:

  • Definition of a security,

  • Exemptions from registration,

  • The registration process,

  • Sarbanes-Oxley,

  • The policy debate underlying disclosure,

  • Resales (including SEC Rule 144),

  • Due diligence (including the integrated disclosure framework),

  • Disclosure obligations in a myriad of contexts,

  • Regulation of the securities markets,

  • International securities developments including global offerings,

  • Remedies and liabilities under both federal and state securities law,

  • Broker-dealer regulation,

  • Corporate control transactions and contests,

  • Attorney professional responsibility,

  • SEC enforcement, and

  • "Blue Sky" regulation

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  • Securities Regulation