Securities Regulation: Selected Statutes, Rules, and Forms 2024 Supplement

BOOKMARK

Authors

James D. Cox
Robert W. Hillman
Donald C. Langevoort
Ann M. Lipton
Patrick Corrigan

Series / Supplements

BOOKMARK

Book length

1224 pages

Publication Date

2024-09-10

Description

Table of contents

Amendments to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incidents by public companies that are subject to the reporting requirements of the Securities Exchange Act of 1934.
Amendments to enhance investor protections in initial public offerings by Special Purpose Acquisition Companies (SPACs).
Amendments to modernize and improve disclosure about repurchases of an issuer’s equity securities that are registered under the Exchange Act (Repurchase Rule).
Amendments to update Regulation 13D-G to require market participants to provide more timely information on their positions to meet the needs of investors in today’s financial markets.
Amendments to the rule under the Investment Company Act of 1940 that addresses certain broad categories of investment company names that are likely to mislead investors about an investment company's investments and risks.
Latest updates to statutes, rules, regulations, and forms.

Summary of Contents

SECURITIES ACT OF 1933
Securities Act Rules
Securities Act— Selected Forms
REGULATION CROWDFUNDING
SECURITIES EXCHANGE ACT OF 1934— SELECTED PROVISIONS
Exchange Act Rules— Selected Provisions
Securities Exchange Act of 1934— Selected Forms
REGULATION S- K— SELECTED PROVISIONS
REGULATION S- X— SELECTED PROVISIONS
REGULATION M
REGULATION SHO— REGULATION OF SHORT SALES
REGULATION M- A— SELECTED PROVISIONS
REGULATION AC
REGULATION FD .
REGULATION G
RULES OF PRACTICE AND INVESTIGATIONS— SELECTED PROVISIONS
STAFF ACCOUNTING BULLETINS— SELECTED RELEASE
SARBANES- OXLEY ACT OF 2002—SELECTED PROVISIONS .
INVESTMENT ADVISERS ACT OF 1940— SELECTED PROVISIONS .
ADVISERS ACT RULES— SELECTED PROVISIONS .
INVESTMENT COMPANY ACT OF 1940— SELECTED PROVISIONS .
INVESTMENT COMPANY ACT RULES— SELECTED PROVISIONS

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About the authors

James D. Cox

Brainerd Currie Professor of Law

Duke University

James D. Cox, Brainerd Currie Professor of Law at Duke University, specializes in the areas of corporate and securities law. In addition to his texts, Financial Information, Accounting, and the Law: Cases and Materials, Corporations and Other Business Organizations: Cases and Materials (with Eisenberg), and Securities Regulations: Cases and Materials (with Hillman, Lipton & Langevoort), and his multi-volume treatise Cox and Hazen on Corporations, he has published extensively in the areas of market regulation and corporate governance and has testified before the U.S. House and Senate on insider trading, class actions, and market reform issues.

Cox’s memberships have included the American Law Institute, the ABA Committee on Corporate Laws, the NYSE Legal Advisory Committee, the NASD Legal Advisory Board, and the Fulbright Law Discipline Review Committee. In 2009, he was appointed to the Bipartisan Policy Center's credit rating agency task force and most recently was a member of the Center’s Capital Market Task Force. Since 2009, he has been a member of the Standing Advisory Group for the Public Company Accounting Oversight Board.

In 2001, he was awarded an Honorary Doctorate of Mercature from the University of Southern Denmark for his work in international securities law. Cox and Hazen on Corporations won the Association of American Publishers National Book Award for Best New Professional/Scholarly Legal Book for 1995. He served as a member of the corporate law drafting committees in California (1977-80) and North Carolina (1984-93).

Cox joined the Duke Law faculty in 1979 after teaching at the law schools of Boston University, the University of San Francisco, the University of California, Hastings College of the Law, and Stanford. During the 1988-89 academic year, he was a Senior Research Fulbright Fellow at the University of Sydney. He earned his B.S. from Arizona State University and law degrees at the University of California, Hastings College of the Law (J.D.), and Harvard Law School (LL.M.).

Robert W. Hillman

University of California, Davis

Robert W. Hillman is a Professor of Law and Fair Business Practices and Investor Advocacy Chair at the University of California, Davis School of Law. "The road to practicing law internationally begins at home," said Robert Hillman. "The essential prerequisite for becoming a private international lawyer is a solid grounding in domestic law. Take as many business law courses as possible without regard to whether they have a domestic or international orientation. Knowing how transactions are structured, having the ability to draft documents, to negotiate effectively and to close a business deal—these do not vary whether you're practicing domestically or internationally."

Before coming to King Hall, Hillman was general counsel for Star-Kist Foods, a job that took him throughout Southeast Asia, West Africa, Latin America, and Europe. After joining the UC Davis faculty in 1984, he evaluated Chinese law schools as a consultant for the World Bank and taught two semesters at the University of International Business and Economics in Beijing. He has also taught at New York University, Duke, Georgia, and Florida State.

The job of the private international lawyer is neither easy nor glamorous, he said. "There are long hours on the road, negotiating in stressful environments without the support mechanisms you would have at home. On the other hand, there's a diversity about what you're doing that is not to be found in domestic practice. And your working environments are certainly different and stimulating."

Donald C. Langevoort

Thomas Aquinas Reynolds Professor of Law

Georgetown University

Donald Langevoort is the Thomas Aquinas Reynolds Professor of Law at Georgetown University Law Center. Prior to joining the Law Center faculty in 1999, Professor Langevoort was the Lee S. and Charles A. Speir Professor at Vanderbilt University School of Law, where he joined the faculty in 1981. The courses Professor Langevoort teaches are Contracts, Securities Regulation, various seminars on corporate and securities issues, and Corporations. Professor Langevoort has received the Paul J. Hartman Award for Excellence in Teaching at Vanderbilt. He has been a visiting professor at Harvard Law School and the University of Michigan Law School and a lecturer at the Washington College of Law, American University.

After practicing for two years at Wilmer, Cutler Pickering in Washington, D.C., he joined the staff of the U.S. Securities Exchange Commission as Special Counsel in the Office of the General Counsel. Professor Langevoort is the co-author, with Professors James Cox and Robert Hillman, of Securities Regulation: Cases and Materials (Aspen Publishing), and the author of a treatise entitled Insider Trading: Regulation, Enforcement and Prevention (West Group). He has also written many law review articles, a number of which seek to incorporate insights from social psychology and behavioral economics into the study of corporate and securities law and legal ethics. Professor Langevoort has testified numerous times before Congressional committees on issues relating to insider trading and securities litigation reform.

Ann M. Lipton

Professor of Law and Laurence W. DeMuth Chair

University of Colorado Law School

Ann M. Lipton joined Colorado Law in 2025 as a professor and the Laurence W. DeMuth Chair. Lipton practiced in New York City for over a decade, handling securities and corporate litigation at the trial and appellate levels. Before that, Lipton clerked for U.S. Supreme Court Justice David Souter and 3rd U.S. Circuit Court of Appeals Judge Edward Becker. As a scholar, Lipton explores corporate governance, the relationships between corporations and investors, and the role of corporations in society. Her articles have appeared in the Harvard Law Review, the Yale Journal on Regulation, and the Georgetown Law Journal, among other publications. She also blogs regularly for the Business Law Prof Blog.

Patrick M. Corrigan

University of Notre Dame Law School

Patrick Corrigan is Professor of Law at Notre Dame Law School. Corrigan’s research analyzes how laws and legal institutions shape capital markets and transactional structures, with a particular focus on issues related to initial public offerings and venture capital. Corrigan has published work in the New York University Law Review, Washington University Law Review, Yale Journal on Regulation, and Journal of Empirical Legal Studies, among others. Corrigan’s work has been cited in final orders by the Securities and Exchange Commission and featured in various media outlets.

Corrigan is a Research Associate at the University of Amsterdam Center for Law and Economics; a Fellow in the Notre Dame Research Program on Law and Market Behavior; and a Fellow in the Notre Dame Program on Private Law. Before joining the faculty at Notre Dame Law School in 2019, Corrigan was the Wagner Fellow in Law & Business at NYU School of Law and NYU Stern School of Business. Corrigan also practiced for two years in the general practice group at Sullivan & Cromwell LLP in New York City.

Product Information

Publication date

2024-09-10

2024

Pages

1224

Subject

Securities Regulation

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