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The Tenth Edition of Securities Regulation: Cases and Materials encompasses the sea changes that have recently occurred in the securities laws and capital markets, brought about by both SEC rulemaking and shifts in underwriting practices. The casebook carries forward its long-held standard of providing students with an in-depth, sophisticated, practical look at contemporary securities law. As it has since its first edition, this volume contains a highly teachable mix of problems, cases, and textual material, encouraging students to build their knowledge base by being active problem-solvers. Always forward-thinking, stressing current developments and controversies, the book is also highly modular, so that professors can easily pick and choose how to structure their courses without being locked into any given progression.

New to the Tenth Edition:

• Developments involving cryptocurrencies and coin offerings
• Commentary on market developments such as issues arising with the retailization of trading markets
• The SEC’s procedures for direct listings and the regulatory issues surrounding the explosion of SPACs
• The sweeping November 2020 reforms to the issuer transaction exemptions from registration, and the new standards for evaluating whether offerings will be integrated
• The Supreme Court’s most recent Goldman Sachs decision addressing fraud on the market
• Coverage of several developments affecting the SEC’s enforcement powers
• The SEC’s new rules for proxy advisory services and shareholder proposals
• Where the law stands today regarding the obligations of broker-dealers in the wake of Regulation Best Interest

Professors and students will benefit from:

• The book’s highly modular organization, enabling different teaching formats and coverage
• Extensive use of problems that build student awareness of the fundamentals, with directions in the Teacher’s Manual on how best to teach them
• Concise notes that introduce the reader to both theory and real-life practice issues
• A book that is always up-to-date and on the cutting edge

Securities Regulation