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FEDERAL
SECURITIES CODE: 2 volumes: lxiii (vol. 1), xi (vol. 2), 1099 pp.,
1980
[www.ali.org]
THIS SECTION REFERRING TO RAY GARRETT'S CONTRIBUTION
IS QUOTED DIRECTLY FROM WWW.ALI.ORG TO ENSURE COMPLETE ACCURACY
OF REPRESENTATION. PLEASE SEE LINK AT THE BOTTOM TO VIEW THE ENTIRE
ARTICLE OR ORDER THE PUBLICATION. THIS WEBSITE IS NOT AFFILIATED
WITH THE AMERICAN LAW INSTITUTE, IT IS A MEMORIAL WEBSITE.
Ray
Garrett was a consultant for Parts VII through XI of the Federal
Securities Code which was published the year he died. According
to the American Law Institute, "The Federal Securities Code
is an attempt to revise and integrate the six federal laws relating
to securities. The principal aims of the code are to simplify a
complex body of law, to eliminate duplicate regulation, and to reexamine
the entire scheme of investor protection with a view to increasing
its efficiency."
The complete text of the
Code with Reporter’s Commentary: Part I. Legislative Findings
and Declarations. Part II. Definitions. Part III. Exemptions. Part
IV. Issuer Registration. Part V. Distributions. Part VI. Post-registration
Provisions. Part VII. Broker, Dealer, and Investment Adviser
Registration and Qualifications. Part VIII. Self-Regulatory
Organizations. Part IX. Market Regulation. Part X. National
Market and Clearance-Settlement Systems. Part XI. Municipal
Securities. Part XII. Broker-Dealer Insolvency. Part XIII.
Trust Indentures. Part XIV. Investment Companies. Part XV. Utility
Holding Companies. Part XVI. Fraud, Misrepresentation, and Manipulation.
Part XVII. Civil Liability. Part XVIII. Administration and Enforcement.
Part XIX. Scope of the Code. Part XX. General.
Reporter:
Louis Loss, Harvard University Law School, Cambridge, Massachusetts.
Assistant
Reporter for Part XIV: Victor Brudney, Harvard University Law School,
Cambridge, Massachusetts.
Consultants:
Milton H. Cohen, Chicago, Illinois; Vern Countryman, Harvard University
Law School, Cambridge, Massachusetts (for Part XII); Theodore H.
Focht, Washington, District of Columbia (for Part XII); Ray Garrett,
Jr., Chicago, Illinois; L. C. B. Gower, Vice Chancellor, Southampton
University, England; Alton B. Harris, Chicago, Illinois (for Parts
VII-XI); David S. Henkel, New York, New York; Charles Jackson,
Jr., Boston, Massachusetts (for Part XIV); Homer Kripke, New York
University School of Law, New York, New York [from 1971]; Milton
P. Kroll, Washington, District of Columbia; Robert H. Mundheim,
General Counsel, Treasury Department, Washington, District of Columbia;
David S. Ruder, Northwestern University School of Law, Chicago,
Illinois (for Parts XVI and XVII).
Advisers:
Jeffrey B. Bartell, Commissioner of Securities, Madison, Wisconsin
[from 1974]; Peter A. Bator, New York, New York; Kenneth J. Bialkin,
New York, New York [from 1974]; George A. Blackstone, San Francisco,
California; William L. Cary, Columbia University School of Law,
New York, New York; Manuel F. Cohen, Washington, District of Columbia
[Deceased 1977]; Ralph H. Demmler, Pittsburgh, Pennsylvania; Thomas
E. Fairchild, Chief Judge, United States Court of Appeals for the
Seventh Circuit, Chicago, Illinois; Arthur Fleischer, Jr., New York,
New York; Henry J. Friendly, Senior Circuit Judge (former Chief
Judge), United States Court of Appeals for the Second Circuit, New
York, New York; Thomas A. Halleran, New York, New York [Deceased
1975]; Richard W. Jennings, University of California School of Law,
Berkeley, California; Philip A. Loomis, Jr., Commissioner, Securities
and Exchange Commission, Washington, District of Columbia; Harold
L. Marsh, Jr., Los Angeles, California; Vincent L. McKusick, Chief
Justice, Supreme Judicial Court of Maine, Portland, Maine; Ernest
J. Sargeant, Boston, Massachusetts; Richard B. Smith, New York,
New York; A. A. Sommer, Jr., Washington, District of Columbia; Joseph
L. Weiner, New York, New York [Deceased 1976]; Francis M. Wheat,
Los Angeles, California; Charles Seymour Whitman III, New York,
New York [from 1974].
THIS PAGE IS
NOT ASSOCIATED IN ANY WAY WITH THE AMERICAN LAW INSTITUTE OR THE
FEDERAL SECURITIES CODE. THIS IS A MEMORIAL WEBSITE.
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