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Description

Get definitive guidance on going public and being a public company. This treatise approaches issues from the point of view of a single-integrated disclosure system under the securities acts. It covers public financing from the initiating of the underwriting process through the closing, including statutes, rules, staff interpretations, case law and concrete examples. It also provides you a wealth of original source material, including excerpts from actual forms or disclosure documents.

Features

Includes statutes, rules, staff interpretations, case law, and concrete examples
Streamline your drafting process with the extensive sample forms and documents included in this title
Ensure continuous disclosure using these mechanics for synchronizing the annual reports for shareholders, the Form 10-K, and proxy statement compliance

Summary Of Contents

Summary of Contents (PDF) »

Volume 1
Chapter
1. Introduction
2. Capital Markets, Distribution of Securities, and Corporate Governance
3. Exemptions and Definitions
4. Exempt Financing
Volume 1A
1. Offshore Distributions: Herein of Regulation S, Rule 144A, PORTAL, and the Multijurisdictional Disclosure System
2. Resale of Restricted Securities, Trading by Affiliates, and Secondary Distributions: Herein of Rule 144
3. The Integrated Disclosure System
4. EDGAR
5. Continuous Disclosure
Volume 1B
1. The Syndication-Distribution-Underwriting Process
2. Proposed Securities Offering Regime
3. Public Offerings
4. Registration Under the Blue Sky Laws
Volume 1C
1. Liability and Due Diligence
2. Statutes of Limitations Under the Securities Acts
3. Securities Fraud Actions and the Private Securities Litigation Reform Act
Volume 1D
1. SEC Enforcement
2. Proxy Solicitations and Contests
3. Timely Corporate Disclosure
4. Insider Trading and the Public Corporation
Volume 1E
1. Tender Offers and Takeovers
2. Section 16 Short-swing profit and reporting provisions
3. Public Company Accounting Oversight Board and Regulation of Accountants
4. Professional Responsibility of Attorneys
5. Forms
Volume 1F
- Appendix D1 Description of Euroclear from SEC Rel. 34-38589 (1997)
- Appendix D2 Description of Cedel from SEC Rel. 34-37309 (1996)
- Appendix D3 Staff Telephone Interpretations: Item 404
- Appendix D4 SEC Report on Technological Advances Affecting Securities Markets
- Appendix D5 New York Guidelines on Internet Transactions
- Appendix D6 Morgan Stanley & Co. Incorporated No-Action Letter (March 27, 1991)
- Appendix D7 K-III Communications Corporation No-Action Letter (March 8, 1993)
- Appendix D8 Shearman & Sterling No-Action Letter (July 2, 1993)
- Appendix D9 NASD Notice to Members 92-53 Regarding Underwriting Compensation
- Appendix D10 Corporate Financing Rule Questionnaire
- Appendix D11 Notice of Proposed Form 99 and Form 99 (as adopted)
- Appendix D12 Timely Distribution of Proxy and Other Soliciting Material: Exchange Act Release Number 33768 (Excerpts)
- Appendix D13 New York Stock Exchange Rules: Shareholders' Meetings and Proxies
- Appendix D14 New York Stock Exchange Rules: Brokers' Letters
- Appendix D15 NASD Interpretation: Forwarding Proxy and Other Materials
- Appendix D16 Participant Proxy Contact List
- Appendix D17 Omnibus Proxy-Participants List
- Appendix D18 Multiple Proxy
- Appendix D19 American Stock Exchange Company Guide
- Appendix D20 Insurgents' Advertisement
- Appendix D21 Management's Advertisement
- Appendix D22 Cracker Barrel Old Country Store, Inc. No-Action Letter
- Appendix D23 SEC Informal Procedures for Shareholder Proposal Advice: Exchange Act Release Number 12,599
- Appendix D24 American Society of Corporate Secretaries No-Action Letter (December 11, 1996)
- Appendix D25 American Bar Association No-Action Letter (December 20, 1996)
- Appendix D26 Study Pursuant to Section 108(d) of the Sarbanes-Oxley Act of 2002 on the Adoption by the United States Financial Reporting System of a Principles-Based Accounting System
- Appendix D27 Memorandum of Understanding
- Appendix D28 Four-Firm Letter on Hedging Restricted and Control Securities
- Appendix D29 Prospectus Directive (2003)
- Appendix N1 H.R. Rep. No. 104-622 (June 17, 1996)
- Appendix N2 H.R. 3005, as passed by the House and House debate (June 19, 1996)
- Appendix N3 S. Rep. No. 104-293 (June 26, 1996)
- Appendix N4 Senate Floor Remarks Prior to Senate Vote (June 27, 1996)
- Appendix N5 S. 1815, as passed by the Senate (June 27, 1996)
- Appendix N6 H.R. Conf. Rep. No. 104-864 (September 28, 1996)
- Appendix N7 Senate Floor remarks (October 1, 1996)
- Appendix N8 Public Law 104-290 (October 11, 1996)
- Appendix N9 Senate Floor remarks (October 3, 1996)
- Appendix N10 House Floor remarks (October 4 & 21, 1996)
- Table of Laws and Rules
- Table of Cases
- Table of Additional Authorities
- Index

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