SECURITIES LAW

Federal Securities Code

2 volumes: lxiii (vol. 1), xi (vol. 2), 1099 pp., 1980, Order Code 5069, Was $100. NOW $40.  -- Order this item, with 1981 pocket supplement, Order Code 5615, $10 individually. Included with purchase of the main volumes above. -- Order this item.

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The Federal Securities Code is an attempt to revise and integrate the six federal laws relating to securities. The principal aims of the Code are to simplify a complex body of law, to eliminate duplicate regulation, and to reexamine the entire scheme of investor protection with a view to increasing its efficiency.

The complete text of the Code with Reporter’s Commentary: Part I. Legislative Findings and Declarations. Part II. Definitions. Part III. Exemptions. Part IV. Issuer Registration. Part V. Distributions. Part VI. Post-registration Provisions. Part VII. Broker, Dealer, and Investment Adviser Registration and Qualifications. Part VIII. Self-Regulatory Organizations. Part IX. Market Regulation. Part X. National Market and Clearance-Settlement Systems. Part XI. Municipal Securities. Part XII. Broker-Dealer Insolvency. Part XIII. Trust Indentures. Part XIV. Investment Companies. Part XV. Utility Holding Companies. Part XVI. Fraud, Misrepresentation, and Manipulation. Part XVII. Civil Liability. Part XVIII. Administration and Enforcement. Part XIX. Scope of the Code. Part XX. General.

Reporter: Louis Loss, Harvard University Law School, Cambridge, Massachusetts.

Assistant Reporter for Part XIV: Victor Brudney, Harvard University Law School, Cambridge, Massachusetts.

Consultants: Milton H. Cohen, Chicago, Illinois; Vern Countryman, Harvard University Law School, Cambridge, Massachusetts (for Part XII); Theodore H. Focht, Washington, District of Columbia (for Part XII); Ray Garrett, Jr., Chicago, Illinois; L. C. B. Gower, Vice Chancellor, Southampton University, England; Alton B. Harris, Chicago, Illinois (for Parts VII-XI); David S. Henkel, New York, New York; Charles Jackson, Jr., Boston, Massachusetts (for Part XIV); Homer Kripke, New York University School of Law, New York, New York [from 1971]; Milton P. Kroll, Washington, District of Columbia; Robert H. Mundheim, General Counsel, Treasury Department, Washington, District of Columbia; David S. Ruder, Northwestern University School of Law, Chicago, Illinois (for Parts XVI and XVII).

Advisers: Jeffrey B. Bartell, Commissioner of Securities, Madison, Wisconsin [from 1974]; Peter A. Bator, New York, New York; Kenneth J. Bialkin, New York, New York [from 1974]; George A. Blackstone, San Francisco, California; William L. Cary, Columbia University School of Law, New York, New York; Manuel F. Cohen, Washington, District of Columbia [Deceased 1977]; Ralph H. Demmler, Pittsburgh, Pennsylvania; Thomas E. Fairchild, Chief Judge, United States Court of Appeals for the Seventh Circuit, Chicago, Illinois; Arthur Fleischer, Jr., New York, New York; Henry J. Friendly, Senior Circuit Judge (former Chief Judge), United States Court of Appeals for the Second Circuit, New York, New York; Thomas A. Halleran, New York, New York [Deceased 1975]; Richard W. Jennings, University of California School of Law, Berkeley, California; Philip A. Loomis, Jr., Commissioner, Securities and Exchange Commission, Washington, District of Columbia; Harold L. Marsh, Jr., Los Angeles, California; Vincent L. McKusick, Chief Justice, Supreme Judicial Court of Maine, Portland, Maine; Ernest J. Sargeant, Boston, Massachusetts; Richard B. Smith, New York, New York; A. A. Sommer, Jr., Washington, District of Columbia; Joseph L. Weiner, New York, New York [Deceased 1976]; Francis M. Wheat, Los Angeles, California; Charles Seymour Whitman III, New York, New York [from 1974].

Tentative and Other Annual Meeting Drafts

Tentative Draft No. 1: Part II. Definitions; Part III. Exemptions; Part IV. Issuer Registration; Part V. Distributions; and Part VI. Postregistration Provisions xlvi, 147 pp., 1972, Order Code 5061, $8 -- Order this item

Tentative Draft No. 2: Part II. Definitions; Part VI. Postregistration Provisions; Part XIII. Deceptive and Manipulative Acts; Part XIV. Civil Liability xxx, 193 pp., 1973, Order Code 5062, $8 -- Order this item

Tentative Draft No. 3: Part II. Definitions; Part III. Exemptions; Part V. Distributions; Part XV. Administration and Enforcement; Part XVI. Scope of Code; Part XVII. General xxiv, 213 pp., 1974, Order Code 5063, $10 -- Order this item

Tentative Draft No. 4: Part II. Definitions; Part III. Exemptions; Part V. Distributions; Part X. Trust Indentures; Part XII. Utility Holding Companies; Part XIV. Civil Liability; Part XVI. Scope of Code; Part XVII. General xxxvi, 132 pp., 1975, Order Code 5065, $7.50 -- Order this item

Tentative Draft No. 5: Market Regulation; Securities Acts Amendments of 1975 xxv, 240 pp., 1976, Order Code 5066, $12 -- Order this item

Tentative Draft No. 6: Legislative Findings and Declarations; Broker-Dealer Insolvency; Investment Companies; (and related provisions in other parts) xxx, 280 pp., 1977, Order Code 5067, $14 -- Order this item

 

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