Designed specifically for the Securities Regulation course, this statutory supplement contains all the relevant statutes, rules, and forms needed—in a remarkably concise and uncluttered format. A highly effective teaching tool, it is the ideal complement to any casebook for Securities Regulation, including but not exclusive to the authors’ own Securities Regulation: Cases and Materials, Ninth Edition (forthcoming November 2019).
New to the 2019 Edition:
New Rule 15l-1 Regulation Best Interest has been added
Thoroughly updated to reflect numerous changes made by the SEC to
modernize and simplify disclosure requirements for public companies, investment advisers, and investment companies
facilitate the disclosure of information to investors
simplify compliance without significantly altering the total mix of information provided to investors.