"Preface" [2014] ELECD 508; in Markham, Jerry; Gjyshi, Rigers (eds), "Research Handbook on Securities Regulation in the United States" (Edward Elgar Publishing, 2014) ix

Book Title: Research Handbook on Securities Regulation in the United States

Editor(s): Markham, Jerry; Gjyshi, Rigers

Publisher: Edward Elgar Publishing

ISBN (hard cover): 9781782540069

Section Title: Preface

Number of pages: 2

Extract:

Preface


This Handbook was created for the purpose of providing a broad
overview of the federal securities laws. There are many treatises that
examine those laws in detail, and the number of law review articles that
examine every minutiae of those statutes is staggering. This Handbook
seeks to fill a void in that literature by providing ready access to the
scope of the federal securities laws, while also providing the reader with
the basic information needed to understand their reach.
The Handbook's initial chapter provides a description of the federal
securities laws and the operation and structure of the agency charged
with their enforcement ­ the Securities and Exchange Commission
("SEC"). Subsequent chapters focus on the definition of a security and
registration requirements under the Securities Act of 1933, the underwrit-
ing process, and the continuous reporting requirements under the Secur-
ities Exchange Act of 1934 Act (1934 Act).
The regulation of secondary markets under the 1934 Act is the subject
of other chapters. Price manipulation concerns are considered in another
chapter. The Handbook also addresses the rules governing the operations
of broker-dealers, including compliance and capital requirements. Other
chapters describe the arbitration of disputes between broker-dealers and
their customers, and private rights of action for self-regulatory organ-
ization rule violations. Still another chapter addresses the regulation of
investment advisers under the Investment Advisers Act of 1940.
The Handbook also includes a chapter on corporate governance issues
under the Sarbanes-Oxley Act of 2002. Another chapter addresses
...