Informal and student-friendly, Securities Regulation combines clear introductions with examples and explanations that test students' understanding of concepts and give them practice applying the law to fact patterns;many drawn from current events. Classroom-tested over five editions, this popular study guide explains the basics of securities regulation and then proceeds in more detail on specific topics.
In the Fifth Edition, new examples are drawn from news stories such as the Bernie Madoff Ponzi scheme and the subprime mortgage crisis. This revision also addresses financial reform legislation and recent Supreme Court rulings concerning the statute of limitations, the liability of secondary actors, and jurisdiction over foreign fraud.
basic coverage of the full range of securities regulation topics
examples drawn from current events, such as public offerings by Google, the roles of lawyers and accountants in Enron, and fraud litigation involving mortgage-backed derivatives
the proven-effective Examples & Explanations series pedagogy
Updated throughout, the Fifth Edition provides:
recent Supreme Court cases
Merck & Co. v. Reynolds, on statute of limitations
Stoneridge v. Scientific-Atlanta, on liability of secondary actors
Morrison v. National Australia Bank, on jurisdiction over foreign fraud
an overview of new securities reforms
credit rating agency regulation and liability
pay clawbacks after financial restatements
regulation of hedge funds and private equity funds
expanded ESEC enforcement powers
additional charts and diagrams that summarize the Dodd-Frank law, 10b-5 procedures, and foreign jurisdiction cases
new and updated examples and explanations based on the Madoff scheme, fraud in selling mortgage-backed securities, and liability for inaccurate credit ratings
Alan R. Palmiter
Brand: Aspen Publishers
Used Book in Good Condition
Most Helpful Customer Reviews
Book is good. I particularly like the exercises at the end of chapters - they meaningfully help reinforce the material and drive points home. I have been practicing, including secreg, for years. But I have a lot to learn, and Palmiter is a great way to quickly point myself in the right direction.
Three stars instead of four because I have the Kindle version. It is harder to use than my old, print E&Es were. Also, I no longer have a Kindle because Amazon convinced me to give mine away with no way to get a new one. So much less useful.
This is SUCH a great supplement. Very clear, much unlike my primary casebook for the class. The author does a great job of his "plain English" approach and is able to explain difficult concepts in a very straightforward way.
If you need a great amount of detail, this probably won't do that for you. But it was a lifesaver to get me through class and ready for the final. When studying this topic, in particular, it is easy to lose the forest for the trees. This book brings you back to the perspective you need to get the big picture.
This text is a great help in my Securities Regulation class. It provides a good breakdown of the important parts of the Securities Acts and other legislation in a way that is easy to read. It also contains some very helpful charts that are easily copied into an outline for the course, in preparation for the exam. I relied on this book much more than my casebook, but that was only because my professor does not use the Socratic method. If your professor does, this book CANNOT be a substitute for the casebook.
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