Securities Law Treatises

This concise summary of the basics of securities regulation provides a background of the SEC statutes, definitions and exemptions from the Securities Acts of 1933 and 1934, regulations of the securities markets, regulations of brokers, dealers and investment advisors, fraud, manipulation and liability. A Table of Cases and No-Action Letters is included. Fundamentals of Securities Regulation is also available online via VitalLaw.

A concise text that explains the main concepts and major points of insider trading law that are typically covered in a law school course. Insider Trading Law and Policy is also available online via West Academic Study Aids.

This is the single-volume hornbook version of Hazen's highly-regarded multi-volume Treatise on the Law of Securities Regulation. The Law of Securities Regulation is also available online via West Academic Study Aids.

This study aid covers the basics of securities law, including how securities are registered, regulation of securities, and penalties for violations of federal securities law. It also addresses international aspects of securities law. Securities Law is also available online via West Academic Study Aids.

This study aid covers the essential background and current status of each major area of securities law. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application, the Dodd-Frank Act as well as the JOBS Act, including the crowdfunding and expanded Regulation A exemptions. Securities Regulation in a Nutshell is also available online via West Academic Study Aids.

This study aid provides coverage of the federal securities laws, including legislative, judicial, and SEC pronouncements. Includes the SEC's amendments to the limited offering rules, appellate and Supreme Court decisions, and SEC actions in both the litigation and transaction settings. The text begins with the definition of security, followed by exemptions from Securities Act registration, and thereafter by the registration process. Following treatment of these subjects, the text focuses on due diligence, issuer affirmative disclosure obligations, securities litigation, insider trading, mergers and acquisitions, and the role of the securities attorney.