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2016•Unpublished venueRequires access

The Proper Role of Securities Act Section 12(2) as an Aftermarket Remedy for Disclosure Violations

Robert N. Rapp

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Abstract

Federal securities regulation in the United States has historically been viewed as integrated. The federal securities statutes are singular in their focus upon investor protection, and share the common objectives of promoting honest dealing in securities and maintaining public confidence in markets and those who deal in them.1 The Securities Act of 1933 (Securities Act)2 and the Securities Exchange Act of 1934 (Exchange Act)3 address the three broad areas of concern for investor protection distribution, trading markets and holding of securities.

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What this paper is about

Federal securities regulation in the United States has historically been viewed as integrated. The federal securities statutes are singular in their focus upon investor protection, and share the common objectives of promoting honest dealing in securities and maintaining public confidence in markets and those who deal in them.1 The Securities Act of 1933 (Securities Act)2 and the Securities Exchange Act of 1934 (Exchange Act)3 address the three broad areas of concern for investor protection distribution, trading markets and holding of securities.

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Available abstract

Federal securities regulation in the United States has historically been viewed as integrated. The federal securities statutes are singular in their focus upon investor protection, and share the common objectives of promoting honest dealing in securities and maintaining public confidence in markets and those who deal in them.1 The Securities Act of 1933 (Securities Act)2 and the Securities Exchange Act of 1934 (Exchange Act)3 address the three broad areas of concern for investor protection distribution, trading markets and holding of securities.

Key concepts: Securities Exchange Act of 1934, Private placement, National best bid and offer, Broker-dealer, Business, Hybrid security, Investment banking, Investor protection

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