Full Description
This unique and comprehensive book guides you
through the complexities of the U.S. federal securities laws. The guide
explains not only the "what" but also the "why." What
problems were Congress and the SEC trying to solve when implementing new
requirements? What are some key differences within and among these laws and why
do they matter? For example, what distinguishes illegal insider trading from
legitimate investment research? Does the "Hope Diamond" count as good
capital for a broker-dealer? How do hedge funds, mutual funds, and money market
funds differ? Introduction to U.S. Federal Securities Laws answers
these questions and much more.
Author Stuart Kaswell shares insights and knowledge
from his 40+ years of experience as a financial services attorney to help you
navigate this complex area of the law. This detailed and easy-to-read guide
includes:
A thorough discussion on the background and
purpose of the U.S. federal securities laws
An interpretation of the Glass-Steagall Act
An overview of the Consumer Financial Protection
Bureau
A discussion on Salomon Brothers and working for
Warren Buffet on the U.S. Treasury Scandal
An examination of the Securities Act of 1933
An introduction to the Securities Act of 1934
Background and overview of the Investment Company
Act of 1940 and the Advisers Act of 1940
The legal battle over whether cryptocurrencies are
securities
And much more!
Contents
Chapter 1: The Framework and Purposes of the U.S. Federal Securities Laws
Chapter 2: Securities Act of 1933
Chapter 3: Securities Exchange Act of 1934
Chapter 4: Investment Company Act of 1940 and Investment Advisers Act of 1940
Chapter 5: National Securities Markets Improvements Act of 1996
Chapter 6: A Word about Cryptocurrency and the Federal Securities Laws
