Regulation of Securities: SEC Answer Book, Third Edition is your
complete 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 valuable desk reference provides concise, understandable
answers to the most frequently asked compliance questions, and ready access to
key statutes, regulations, and court decisions. Designed for both beginners
and seasoned professionals, the volume contains more than 1200 pages organized
in 17 self-contained chapters. Each chapter covers the basics before moving
into the nuanced details, meeting the needs of those who seek a general
understanding of a topic as well as those grappling directly with critical
issues. Twice-yearly supplements keep the book current in this rapidly
evolving field.
Whether you are a lawyer, accountant, corporate executive, director or
investor, you’ll be able to quickly find concise answers to essential
questions about Exchange Act registration and reporting, executive
compensation disclosure, derivatives disclosure, management’s discussion and
analysis, audit committee responsibilities, Sarbanes-Oxley, electronic
filing, interactive financial data, tender offers, proxy solicitations,
insider trading, going private transactions, shareholders’ rights,
SEC investigations, criminal enforcement, securities class actions, and
much more!
1. Introduction to Securities Regulation
2. Electronic Filing
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 the Internet
13. Selling Restricted and Control Securities Under Rule 144
14. Private Resales to Institutional Investors Under Rule 144A
15. Going Private Under Rule 13e-3
16. Securities Litigation and Enforcement
Tables
Index
Automatic Supplementation
