证券管理法
1999-10
法律出版社
大卫﹒L﹒拉特那
321
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大卫·L·拉特那：曾任苏利文和克伦威尔律师事务所律师、康奈尔大学教授、美国证券交易委员会主讪的执行助理、美国参议院银行业委员会的主要顾问、旧金山大学法学院院长，现为该法学院教授。
PREFACEPABLE OF CASESTABLE OF STATUTES AND RULES1、INTRODUCTION 1.The Securities Markets 2.State and Federal Securites Laws 3.The Securities and Exchange Commission 4.Sources of Securities Law 5.Where to Find the Law 6.The Definiton of “Security”2、REGULATION OF PUBLIC OFFERINGS 7.1933 Act Disclosure Requirements 8.The Registration Process 9.The Operation of 5 10.Exemptions From the 1933 Act 11.Civil Liability for Misstatements3、REGULATION OF PUBLICLYHELD COMPANIES4、ANTIFRAUD PROVISIONS5、REGULATION OF THE SECURITIES BUSINESS6、REGULATION OF INVESTMENT COMPANIES7、CIVIL LIABILITIES8、EXPRATERRITORIAL APPLICATION9、STATE REGULATIONINDEX、、
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