Securities Regulation

 US Securities Regulation Assignment Help

We offer securities regulation assignment writing service and securities regulation assignment help about the following US securities laws:



Securities Laws
Securities Act of 1933
Securities Exchange Act of 1934
Trust Indenture Act of 1939
Investment Company Act of 1940
Investment Advisers Act of 1940
Sarbanes-Oxley Act of 2002
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
Jumpstart Our Business Startups Act of 2012


Contents
Securities
Investors
Public Offering
Exempt Transactions
Secondary Distributions
Recapitalizations, Reorganizations & Acquisitions
Exempt Securities
Liability Under the Securities Act
Financial Innovation
Financial Reporting
Inquiries into the Materiality of Information
Fraud in Connection with the Purchase or Sale of a Security
The Enforcement of the Securities Laws
Insider Trading
Shareholder Voting
Going-Private Transactions
Corporate Takeovers
Broker-Dealers
Investment Advisers & Investment Companies


US Corporations
It is helpful to learn a course in Corporations before taking Securities Regulation.

Corporate Fiduciary Duty
(Business Judgment Rule, Unocal Doctrine, Entire Fairness Standard)


Corporate Governance
Shareholders’ Voting Rights
Voting Structure
Proxy Voting & Proxy Fraud
Duties of Controlling Shareholders

Self-Dealing Transaction
Related-Party Transaction
Going-Private Transaction
Fundamental Corporate Changes
Corporate Control & Tender Offer

Shareholder Litigation
Appraisal Rights


Corporate Creditors
Limited Liability
Limitations on corporate distributions
Piercing the corporate veil

Some other laws are close to these securities laws. For example, Federal Rule of Civil Procedure 23 has the certification requirement of a class action (numerosity, commonality, typicality and adequacy). Foreign Corrupt Practices Act prohibits the bribing of foreign officials.



SEC
Securities and Exchange Commission (SEC) regulates the securities market by making and enforcing various regulations and rules. We have been focusing on opinions and orders issued by SEC and lawsuits brought by SEC for a long time.

SEC Rules
Initial Public Offerings
Pre-Filing Period: Rule 163A, Rule 135, Rule 169, Rule 144A,
Waiting Period: Rule 431, Rule 134, Rule 433, Rule 164, Rule 405, Rule 15c2-8,
Post-Effective Period: Rule 172, Rule 173, Rule 174, Rule 153

Exempt Transactions
Limited Offering Exemptions: Rule 504, Rule 505, Rule 506, Rule 501
Employee Benefit Plans: Rule 701,
Mini-Registration: Regulation A (Rules 251-263),
Integration: Rule 251, Rule 254, Rule 255, Rule 262, Rule 260

Secondary Distributions
Rule 144,


Rule 14a


SEC No-Action Letters

Related Laws
Administrative Procedure Act


US district courts and circuits play the important role on hearing cases about securities fraud, insider trading and market manipulation. The United States District Court for the Southern District of New York (S.D.N.Y) has heard the most securities cases.

We have been studying securities and derivative litigations against US-listed entities, especially entities headquartered in China, Japan and South Korea.

Related Laws
Federal Rule of Civil Procedure
Federal Rules of Evidence

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US Securities Regulation Assignment Help