Introduction to U.S. Federal Securities Laws: Guide to the Legislative Process, Regulatory Process, and Judicial Review (Paperback) (ISBN-13: 9781639056040)

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!