Regulation of Securities: SEC Answer Book, Third Edition is a practical
guide to understanding and complying with the day-to-day requirements of the
federal securities laws that affect all public companies.
Using a question-and-answer format similar to that which the SEC has embraced,
this guide provides clear, concise and understandable answers to the most
frequently asked securities compliance questions, and easy access to the
principal statutes, regulations, judicial decisions, and forms. The book is an
excellent core holding for any securities or corporate governance library, and
is especially valuable for corporate compliance personnel, officers and
directors, in-house and outside legal counsel, public accountants, large
shareholders, and others requiring a practical familiarity with key SEC
requirements.
This thoroughly new edition contains approximately 1200 pages, organized in 17
chapters. Annual supplements keep the book current in this rapidly evolving
field.
Read the highlights from the latest supplement and see how the SEC Answer
Book, Third Edition can help you.
1. Introduction to Securities Regulation
2. EDGAR
3. Periodic Reports
3A. Disclosure Items
4. Audit Committees
5. Reporting Beneficial Ownership Under Sections 13(d) and 13(g)
6. Insider Reporting Under Section 16(a)
7. Short-Swing Trading and Exemptions Under Section 16(b)
8. Insider Trading During Pension Plan Blackouts
9. Tender Offers
10. Proxy Regulation
11. Securities Fraud
12. Using Electronic Media
13. Selling Restricted and Control Securities Under Rule 144
14. Private Resales to Institutional Investors Under Rule 144A
15. Going Private Transactions Under Rule 13e-3
16. Securities Litigation and Enforcement
Tables
Index
Automatic Supplementation
