This unique and comprehensive book guides you through the complexities of the U.S. federal securities laws. The guide explains not only the "what" but also the "why." What problems were Congress and the SEC trying to solve when implementing new requirements? What are some key differences within and among these laws and why do they matter? For example, what distinguishes illegal insider trading from legitimate investment research? Does the "Hope Diamond" count as good capital for a broker-dealer? How do hedge funds, mutual funds, and money market funds differ? Introduction to U.S. Federal Securities Laws answers these questions and much more.
Author Stuart Kaswell shares insights and knowledge from his 40+ years of experience as a financial services attorney to help you navigate this complex area of the law. This detailed and easy-to-read guide includes:
A thorough discussion on the background and purpose of the U.S. federal securities laws An interpretation of the Glass-Steagall Act An overview of the Consumer Financial Protection Bureau A discussion on Salomon Brothers and working for Warren Buffet on the U.S. Treasury Scandal An examination of the Securities Act of 1933 An introduction to the Securities Act of 1934 Background and overview of the Investment Company Act of 1940 and the Advisers Act of 1940 The legal battle over whether cryptocurrencies are securities And much more!
