Introduction to U.S. Federal Securities Laws: Guide to the Legislative Process, Regulatory Process, and Judicial Review

By Stuart J Kaswell

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

• Format: Paperback
• Language: English
• ISBN: 1639056041
• ISBN13: 9781639056040
• Release Date: May 2026
• Publisher: American Bar Association
• Length: 754 Pages
• Weight: 2.80 lbs.
• Dimensions: 1.5" x 7.0" x 9.9"