Securities Law and Practice Deskbook #38162
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“Provides insight that even the most experienced practitioner will find helpful.”
— John F. Olsen, Partner, Gibson, Dunn & Crutcher LLP
In one concise volume, the Securities Law and Practice Deskbook contains thorough but accessible insight into securities law and regulation, including the sweeping Dodd-Frank changes and the Commission’s recent enactment of the “proxy access” rules. Featuring step-by-step checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities:
- Deal effectively with the Securities Act registration process — focusing on the procedures, disclosure requirements, and documents involved, including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing
- Handle registration and reporting under the Exchange Act — both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial reform legislation
- Minimize liability risks under the Exchange Act — by understanding what triggers violations under Rule 10b-5, Section 16(b), and Section 14, and by avoiding such practices as churning and market manipulation
Securities Law and Practice Deskbook covers the recent legislative, regulatory and judicial changes that:
- Revised the net worth standard of qualifying as an accredited investor
- Increased the SEC’s ability to impose penalties in cease-and-desist proceedings
- Requires the creation of “claw-back” provisions in listed company compensation plans
- Significantly revised “proxy access” and “proxy voting” regulations
Updated at least once a year, Securities Law and Practice Deskbook should be in the working library of every securities attorney and corporate attorney and is a useful reference for the heads of corporations and securities firms and their compliance personnel.
* Title may include Basic Upkeep Service, whereby supplements, replacement pages and new editions may be shipped to you immediately upon publication for a 30-day examination. This service is cancelable at any time.
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|Edition||6th ed., 2012|
|Publisher||Practising Law Institute|