Regulation of Securities: SEC Answer Book, Third Edition / Edition 3

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More About This Textbook


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.

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!

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Product Details

  • ISBN-13: 9780735542013
  • Publisher: Wolters Kluwer Law & Business
  • Publication date: 11/20/2003
  • Format: Ringbound
  • Edition number: 3

Table of Contents

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



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  • Anonymous

    Posted March 4, 2004

    Comprehensive guide to keeping in compliance

    This comprehensive but reader-friendly guidebook is a good choice for public companies, corporate insiders, legal counsel, public accountants, and anyone else who needs an in-depth familiarity with key SEC requirements governing public corporations. The question and answer format keeps it understandable and on point. There are over 1,000 pages, divided into 15 chapters, covering everything from periodic reporting to Section 16 short-swing trading liability, and from audit committee requirements to securities fraud. The book is written in the plain English that the SEC advocates but doesn't always achieve in its own regulations and pronouncements. There is full coverage of the new securities reforms enacted by the Sarbanes-Oxley Act.

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