Disclosure and Remedies Under the Securities Laws (Vols. 5, 5A, 5B, 5C, 5D, 5E and 5F, Securities Law Series)

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Learn how to prevent fraud in securities transactions and address pending litigation. This treatise covers the six major types of fraud within Rule 10b-5. Discusses the practical application of the rule, offers litigation insights, and analyzes relevant related statutes and case law. For example, use the discussion of tests for determining whether a statement contains a misrepresentation or an omission of a material fact to advise issuers or broker-dealer clients on reducing potential 10b-5 liabilities and pitfalls.

Features

Review of all causes of action and remedies
Identify key cases and precedent with an exhaustive review and analysis of critical cases and relevant case law

Summary of contents
Replacement pages

Volume 5
Chapter
1. In General
2. Common-Law Protections Prior to 10b-5
3. Statutory Protections Prior to 10b-5-In General; Securities Act Provisions
Volume 5A
1. Statutory Protections Prior to 10b-5-Exchange Act Provisions
2. Statutory Protections Prior to 10b-5-Miscellaneous Provisions
Volume 5B
1. Other 10b-5 Introductory Matters
2. In General
3. Jurisdictional Means
4. "In Connection with the Purchase or Sale of Any Security
5. Prohibited Acts
6. Other Types of Liability
Volume 5C
1. Misrepresentations and Omissions When Defendant Trades
2. Misrepresentations and Omissions When Defendant Does Not Trade
Volume 5D
1. Mismanagement
2. Manipulation
3. Tipping
4. Tender Offers and Exchange Offers
5. Brokers and Other Fiduciaries
6. Affirmative Defenses
Volume 5E
1. Remedies
2. Procedural Matters
- Appendix A1 Securities Act: Sections 11, 12 and 17
- Appendix A2 Exchange Act: Sections 6, 7, 8, 9, 10, 13(a), 14, 15(c) & (d), 16 and 18; Rules 14a-9 and 15c1-2
- Appendix A3 Investment Advisers Act § 206
- Appendix A4 Bibliography
- Table of Laws and Rules
- Table of Cases

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