Hazen, Thomas Lee. Treatise on the Law of Securities Regulation. 8th ed. St. Paul, MN : Thomson Reuters, 2021 [KF1439 .H39 2021] (Reserve Room) [Available electronically via Westlaw to UNC Law Students and Faculty (2024 Update)].
This treatise discusses basic securities regulation issues and provides the specifics on a variety of topics, including registration requirements, process of registration, exemptions from and liabilities under the Securities Act, registration and reporting requirements, shareholder suffrage, corporate takeovers, and civil liability. First providing a general review of teh law, the work then outlines each item in detail.
Loss, Louis et al. Securities Regulation. 5th ed. New York, NY : Wolters Kluwer, 2014- (2018 Supplement) [KF1070 .L62] [7th ed. New York, NY : Wolters Kluwer, 2017- (2024 Update) Available electronically via VitalLaw to UNC Students and Faculty].
Analysis of all relevant statutes, plus thousands of cases and SEC administrative decisions and letters, this cornerstone treatise clarifies questions on every aspect of all securities acts, rules and regulations and related legislation. This work contains detailed coverage of: The Sarbanes-Oxley Act; the SEC's disclosure requirements; internet securities trading; margin accounts; the SEC's safe harbor initiatives; SR voting rights standards; SEC amendments to the tender offer, proxy, and merger rules; and arbitrability of securities disputes.
Loss, Louis et al. Fundamentals of Securities Regulation. 8th ed. New York, NY : Wolters Kluwer, 2024- [KF1439 .L68 2024] [Available electronically via VitalLaw to UNC Students and Faculty].
This treatise details the rules and regulations affecting the securities market, providing comprehensive coverage and plain-English explanations in a two-volume set. And, through annual supplementation, you'll keep pace with the ever-increasing volume of litigation, and receive up-to-date examinations of recent regulatory developments and court cases.
Johnson, Philip McBride and Hazen, Thomas Lee. Derivatives Regulation. New York, NY : Aspen Publishers, 2004- [KF1085 .J633 (2023 Update)] [Available electronically via Cheetah to UNC Students and Faculty (2024 Update)].
This treatise provides comprehensive coverage of the Commodity Exchange Act along with all other relevant aspects of the regulation of securities that have an impact on the derivatives markets. It covers the full range of emerging regulatory, reporting, and legal issues surrounding derivatives and related instruments, including developments resulting from the Dodd-Frank Act.
Sommer, A.A. Jr. et al. Federal Securities Act of 1933. Matthew Bender & Company, 2013- (2024 Update) [Available electronically via Lexis Advance to UNC Law Students and Faculty].
This work contains full coverage of the Securities Act of 1933, including: the organization of the SEC; definition of "security" and "sale" exempted securities and transactions, small issue exemptions, restricted and control securities; the registration process, registered forms, registration of investment company securities, the Trust Indenture Act of 1939; civil liabilities, SEC, and criminal enforcement.
Sommer, A.A. Jr. et al. Federal Securities Exchange Act of 1934. Matthew Bender & Company, 2013- (2024 Update) [Available electronically via Lexis Advance to UNC Law Students and Faculty].
This work contains full coverage of the Securities Act of 1934, including: the organization of the SEC; the 1934 Act 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; SEC enforcement actions and private civil liabilities.
Bloomenthal, Harold S. and Wolff, Samuel. Going Public & the Public Corporation. St. Paul, MN : Thomson Reuters, 2010- (2024 Update) [Available electronically via Westlaw to UNC Law Students and Faculty].
This work provides guidance on going public and being a public company. Ensure continuous disclosure using these mechanics for synchronizing the annual reports for shareholders, the Form 10-K, and proxy statement compliance. Streamline your drafting process with the extensive sample forms and documents included in ths title. It incudes statutes, rules, staff interpretations, case law, and concrete examples.
Bloomenthal, Harold S. and Wolff, Samuel. Securities & Federal Corporate Law. St. Paul, MN : Thomson Reuters, 2010- (2024 Update) [Available electronically via Westlaw to UNC Law Students and Faculty].
This multi-volume treatise covers every step in the handling of securities transactions adn is designed to minimize the risk of litigation. The work covers Exchange Act registration and reporting, sales of unregistered securities, and Regulation A offerings.
Bloomenthal, Harold S. and Wolff, Samuel. Securities Law Handbook. New York, NY : C. Boardman, 1978- (2024 Update) [KF1439 .B544] [Available electronically via Westlaw to UNC Law Students and Faculty].
This treatise provides in-depth coverage of basic and specialized issues, including types of offerings, registration, reporting, potential violations, and enforcement. Additional topics covered include: the plain-English prospectus; underwriting and selling groups; small company offerings; exempt offerings, etc.
​Langevoort, Donald C. Insider Trading Regulation, Enforcement, & Prevention. St. Paul, MN : Thomson Reuters, 2010- (2024 Update) [Available electronically via Westlaw to UNC Law Students and Faculty].
Use Insider Trading: Regulation, Enforcement, and Prevention to determine which activities constitute insider trading and what the consequences are. Topics discussed include: the source of the prohibition against insider trading; the evolution of the law; the abstain or disclose obligation of corporate insiders; tipper and tippee liability; material nonpublic information; the misappropriation theory; trading on information regarding a tender offer; and the gray areas of insider trading liability.
Long, Joseph C. et al. Blue Sky Law. Minneapolis, MN : Thomson/West, 2001- [KF1070.Z95 L66 (2023 Update)] [Available electronically via Westlaw to UNC Law Students and Faculty (2024 Update)].
This treatise discusses an array of topics related to the Blue Sky Law or state regulation of securities transactions, including what is a security, conflicts of law issues, federal preemption, securities and transactional exemptions, civil and criminal liability, and administrative and civil enforcement. It provides a thorough examination of the authorities that have interpreted law and procedures in the United States, Guam, Puerto Rico, and the U.S. Virgin Islands.
