Regulation of Securities : SEC Answer Book / Steven Mark Levy.
2003
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Items
Details
Author
Title
Regulation of Securities : SEC Answer Book / Steven Mark Levy.
Added Corporate Author
Edition
Fifth Edition.
Imprint
[New York] : Wolters Kluwer, [2003]-
Description
1 online resource : digital
Frequency
Semiannual
Series
Securities - Federal & International, Cheetah.
Formatted Contents Note
Frontmatter
Understanding Securities Regulation
Going Public
Exemptions from Securities Act Registration
Electronic Filing
Periodic Reports
Disclosure Items
Beneficial Ownership Reports: Sections 13(d) & 13(g)
Insider Reports: Section 16(a)
Short-Swing Profits: Section 16(b)
Audit Committee
Executive Compensation
Proxies
Shareholder Proposals
Tender Offers
Going Private: Rule 13e-3
Resales of Restricted Securities: Rule 144
Resales to Institutional Investors: Rule 144A
Corporate Website
Securities Fraud
Insider Trading
Whistleblower Awards
Securities Litigation & Enforcement
Broker-Dealers
Investment Advisers
Table of Cases
Index.
Understanding Securities Regulation
Going Public
Exemptions from Securities Act Registration
Electronic Filing
Periodic Reports
Disclosure Items
Beneficial Ownership Reports: Sections 13(d) & 13(g)
Insider Reports: Section 16(a)
Short-Swing Profits: Section 16(b)
Audit Committee
Executive Compensation
Proxies
Shareholder Proposals
Tender Offers
Going Private: Rule 13e-3
Resales of Restricted Securities: Rule 144
Resales to Institutional Investors: Rule 144A
Corporate Website
Securities Fraud
Insider Trading
Whistleblower Awards
Securities Litigation & Enforcement
Broker-Dealers
Investment Advisers
Table of Cases
Index.
Summary
Written in the Q&A format, this work provides straightforward answers on how to comply with the complex statutes, rules and regulations governing daily corporate activities; offering answers to the most important and most commonly encountered questions associated with securities regulatory and reporting compliance.
Bibliography, etc. Note
Includes bibliographical references.
Source of Description
Description based on online resource; title from contents screen of Securities - Federal & International practice area (Cheetah, viewed September 15, 2020).
Location
www
Linked Resources
Alternate Title
Cheetah.
Language
English
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