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Securities Law: A Guide to the 1933 and 1934 Acts and their Amendments, including Sarbanes-Oxley and Dodd-Frank

Item Id: SLO1
Securities Law: A Guide to the 1933 and 1934 Acts is a securities law deskbook that provides a thorough explanation and analysis of the two central federal statutes, the Securities Act of 1933 (1933 Act) and the Securities Exchange Act of 1934 (1934 Act). The 1933 Act controls the registration of securities with SEC and national stock markets, and the 1934 Act controls trading of those securities. These laws require public companies and certain persons to publicly disclose facts that would be material to an investor’s decision to buy or sell securities, and impose civil and criminal liabilities on those who fail to comply.

This securities law guide is used by experienced securities lawyers, general practitioners, accountants, investment advisors, and investors.

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  • Covers the significant impact of 2010’s Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) on the regulatory environment
  • Discusses the impact of the Sarbanes-Oxley Act of 2002 (Sarbanes-Oxley), as well as nearly eighty years of previous statutory revisions, regulatory adoptions, and federal court cases
  • This securities law deskbook is a thorough and manageable step-by-step explanations of laws and regulations, practical guidance, and answers to frequently asked questions
  • Includes the numerous statutory amendments, SEC rules and regulations, and court cases that expand on and interpret these Acts
  • Incorporates in-depth discussions of electronic filing of securities transactions and SEC’s Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system
  • References state “Blue Sky Laws”
  • Discusses laws that apply to international securities transactions
  • Highlights laws and rules of special interest to Canadian and other non-U.S. securities practitioners
  • Examines the securities market system within the context of relevant laws and rules, and provides examples of how they apply
  • Identifies and defines key terms
  • Incorporates cross-reference tables, checklists, examples
  • The Authors Notes throughout this securities law desk book summarize key ideas, provide tips and cautions for added guidance, and offer conclusions about securities issues
  • Incorporates extensive footnotes with citations to statutes, SEC and PCAOB rules, interpretive releases, and court decisions, with practical tips in one or all of these forms

Topic Areas

Part I: BackgroundTraces the evolution of the securities laws and their purpose, outlines various securities statutes and the SEC’s general rules and regulations, discusses research considerations, describes the SEC’s administrative organization and procedures, summarizes approaches taken in state Blue Sky Laws and the limits of state authority over securities, and identifies Dodd-Frank as providing major “big name” revisions to the 1933 and 1934 Acts
Part II: The Regulation of SecuritiesExplains the present requirements of the Acts and highlights their application to public companies, corporate directors, officers, and insiders, as well as broker-dealers; covers the latest SEC rules and regulations, interpretive releases, and no-action letters, as well as PCAOB rules and judicial decisions that apply, and interprets the regulatory scheme; discusses Dodd-Frank and Sarbanes-Oxley in their entireties
Part III: Enforcement of ViolationsAnalyzes the civil and criminal liability provisions of the two Acts, including those triggering enforcement by SEC and PCAOB, as well as private securities litigation
Part IV: International Securities TransactionsDiscusses how these laws apply to international securities transactions, such as public offerings to U.S. investors by foreign issuers and public offerings by U.S. issuers to foreign investors


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Loose-leaf paper format may also be available for some publications. Contact us or call 1-800-251-0381 for inquiries.
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