• Publication Date: February 28, 2023
  • EAN: 9781552216873
  • ISBN: Digital (PDF): 9781552216880
  • 640 pages; 6" x 9"
Filed Under: Securities

Securities Law, 3/e


Irwin Law's e-books run on the industry-standard Adobe Digital Editions platform. Learn more about e-books here.

Product Description

Canadian securities law consists of an enduring core of fundamental principles that are refined, and sometimes shrouded, by a complex and constantly evolving body of technical details. This third edition, written by Christopher Nicholls — one of Canada’s foremost corporate and securities law experts — provides a solid grounding in the core securities law principles and helps the reader navigate the complex labyrinth of modern securities regulation.

Securities Law surveys the essential building blocks of securities regulation: basic definitions, the public and exempt markets for securities, insider trading, continuous disclosure, enforcement, regulation of dealers and other securities industry professionals, and take-over and issuer bids. Discussion of these subjects is interwoven with thoughtful consideration of larger public policy issues. This book also explores the history of securities regulation and several recent topics, including, among others, the stalled initiatives aimed at trying to create a national cooperative capital market regulatory system in Canada; developments affecting dealers, including the recent consolidation of Canada’s two national securities industry self-regulatory organizations; the impact of the 2021 Capital Markets Modernization Taskforce Report; the changes introduced in Ontario by the Securities Commission Act, 2021; and the ongoing challenges posed by increasing shareholder activism and technological advances, including the regulatory challenges posed by cryptocurrencies and other digital assets.

Preface to the Third Edition

Preface to the Second Edition

Selected List of Statutes, Regulations, and Abbreviations

Chapter 1: Canadian Capital Markets and Instruments

Chapter 2: The Origins of Securities Regulation

Chapter 3: Fundamental Securities Law Concepts

Chapter 4: Canadian Securities Regulators and Regulatory Instruments

Chapter 5: Securities Dealers, Advisers and Other Registrants, and Self‑Regulatory Organizations

Chapter 6: The Prospectus Process

Chapter 7: The Exempt Market (Private Placements and Other Exempt Distributions)

Chapter 8: Insider Trading

Chapter 9: Continuous Disclosure

Chapter 10: Take-Over and Issuer Bids

Chapter 11: Securities Law Enforcement

Chapter 12: Conclusion

Table of Cases


About the Author

Scroll to Top