At one time, securities law was a specialty practice area centered in a select group of large big-city law firms. However, it is increasingly the case that lawyers representing investors or businesses of any sort are likely to face securities law issues. At the same time, securities law is a vast and complex field. Corporate Counsel Guides: Securities Regulation is designed to provide a general understanding of the federal securities laws; it emphasizes those areas of the law that are likely to be confronted in a general or corporate practice, while at the same time giving some coverage to market regulation, broker-dealers, and the regulation of investment companies and investment advisers. The book examines basic coverage of securities law including The Securities Act of 1933, state Blue Sky laws and The Securities Exchange Act of 1934. Also included, is coverage of manipulation and fraud, insider reporting, short-swing trading, broker-dealers, debt securities, protection of bondholders and federal regulation of investment companies, and more.

This book is part of the ABA Publishing series, the Corporate Counsel Guides, a collection of titles aimed at new in-house counsel getting acclimated to the role of a business general practitioner, or anyone looking for a complete overview of a subject, including the most common and pressing issues.