BYU Law Library has several resources to help law students studying for securities law classes.
E-books and Digital Study Aids
Examples and Explanations for Securities Regulation by Alan R. PalmiterA favorite classroom prep tool of successful students that is often recommended by professors, the Examples & Explanations (E&E) series provides an alternative perspective to help you understand your casebook and in-class lectures. Each E&E offers hypothetical questions complemented by detailed explanations that allow you to test your knowledge of the topics in your courses and compare your own analysis. Here's why you need an E&E to help you study throughout the semester: Clear explanations of each class topic, in a conversational, funny style. Features hypotheticals similar to those presented in class, with corresponding analysis so you can use them during the semester to test your understanding, and again at exam time to help you review. It offers coverage that works with ALL the major casebooks, and suits any class on a given topic. The Examples & Explanations series has been ranked the most popular study aid among law students because it is equally as helpful from the first day of class through the final exam.
Broker-Dealer Regulation in a Nutshell by Thomas HazenThis title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you an understanding of basic concepts and the underlying regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. This title also provides an overview of industry self-regulation under FINRA (the Financial Industry Regulatory Authority).
Call Number: KF 1071 .H39 2017
Publication Date: 2017-04-28
Corporate Finance in a Nutshell by Jeffrey HaasThis up-to-date and comprehensive title covers the entire field of corporate finance, including the recent changes stemming from the Dodd-Frank Act. In addition to discussing accounting and valuation concepts, it provides extensive coverage of the legal and financial underpinnings of debt securities, preferred and common stock, and derivative instruments (options, forward contracts, futures contracts and swap contracts). It also provides sample valuation problems, answers, and explanations. Written in "plain-English," you will find the work particularly useful, with or without any business background.
Call Number: KF 1428 .H32 2015
Publication Date: 2015-09-01
Securities Law by Larry Soderquist; Theresa A. Gabaldon; Theresa GabaldonThis concise text provides a basic introduction to securities law. One object of the book is to help struggling students get on track; another is to assist in review and exam preparation. The authors define a security, explain how securities are registered under the Securities Act and describe the applicable exemptions. Many other subjects are addressed, including Exchange Act reporting, proxy solicitations and tender offers, insider trading, and international aspects of securities law. The book is completely up-to-date, incorporating all relevant changes from the JOBS and STOCK Acts of 2012.
Call Number: KF 1440 .S64 2014
Publication Date: 2014-04-01
Securities Litigation and Enforcement in a Nutshell by Donna Nagy; Gerald Russello; Margaret SachsThe new Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned more than a decade ago after the accounting and corporate governance scandals at Enron, WorldCom, and other large companies and then continued to expand with the 2008 financial crisis and subsequent legislation, including the Dodd-Frank Act of 2010 and the JOBS Act of 2012. The Nutshell examines private, SEC, and criminal enforcement of the federal securities laws, with an emphasis on the elements that establish securities fraud, and the doctrinal and practical issues that typically emerge in prosecuting or defending such claims.
Call Number: KF 1439 .S33 2016
Publication Date: 2016-06-24
Securities Regulation by Alan R. PalmiterA favorite among successful students, and often recommended by professors, the unique Examples & Explanations series gives you extremely clear introductions to concepts followed by realistic examples that mirror those presented in the classroom throughout the semester. Use at the beginning and midway through the semester to deepen your understanding through clear explanations, corresponding hypothetical fact patterns, and analysis. Then use to study for finals by reviewing the hypotheticals as well as the structure and reasoning behind the accompanying analysis. Designed to complement your casebook, the trusted Examples & Explanations titles get right to the point in a conversational, often humorous style that helps you learn the material each step of the way and prepare for the exam at the end of the course. The unique, time-tested Examples & Explanations series is invaluable to teach yourself the subject from the first day of class until your last review before the final. Each guide: helps you learn new material by working through chapters that explain each topic in simple language challenges your understanding with hypotheticals similar to those presented in class provides valuable opportunity to study for the final by reviewing the hypotheticals as well as the structure and reasoning behind the corresponding analysis quickly gets to the point in conversational style laced with humor remains a favorite among law school students is often recommended by professors who encourage the use of study guides works with ALL the major casebooks, suits any class on a given topic provides an alternative perspective to help you understand your casebook and in-class lectures
Call Number: KF 1440 .P25 2014
Publication Date: 2014-04-02
Securities Regulation by Niels B. SchaumannThis product contains an outline on securities regulation. Topics covered include the Securities and Exchange Commission (SEC), jurisdiction and interstate commerce, and the Securities Act of 1933 (including persons and property interests covered, registration statements, exemptions from registration requirements, and liabilities). It also discusses the Securities Exchange Act of 1934 (including rule 10b-5, tender offers and repurchases of stock, regulation of proxy solicitations, liability for short-swing profits on insider transactions, and SEC enforcement actions), regulation of the securities markets, multinational transactions, and the state regulation of securities transactions.
Call Number: KF 1440 .G55 2008
Publication Date: 2007-10-09
Securities Regulation in a Nutshell by Thomas HazenThis title will help you acquire an understanding of the basic content and organization of federal and state securities law. It provides a summary of an intricate regulatory system. An authoritative summary, it covers the essential background and current status of each major area, while keeping details and citations to a minimum. It discusses the regulations governing public offerings, public companies, exemptions from SEC disclosure requirements, securities broker-dealers, as well as investment companies and investment advisers. It also explores sanctions, civil liabilities, and extraterritorial application. This edition includes recent developments including the Dodd-Frank Act as well as the JOBS Act, including the new crowdfunding and expanded Regulation A exemptions.