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Analysis of Key SEC No-Action Letters and Compliance and Disclosure In...

Analysis of Key SEC No-Action Letters and Compliance and Disclosure Interpretations, 2011-2012 ed. (Securities Law Handbook Series)

By Robert J. Haft
ISBN-13: 9780314606716
Last Updated: 9/19/2011
Availability: In Stock  
Product Details »
Series: Securities Law Handbook Series
Brand: Clark Boardman Callaghan
Pages: 1280
Components: 1 Print
Shelf Space: 2 in.
Free Update Period: 90 days
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Available Options:
Book - softbound
List Price:
 $783.00
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Description

This handbook examines decisions issued by SEC staff—both no-action and interpretive letters. Use it to gain insight, discern emerging trends, and determine what is exempt from the Securities Act of 1933. Part One contains chapters on the Securities Act of 1933: Definition of Security; Section 5 and Offerings Outside the United States; Regulations; Intrastate Offerings under Rule 147; Commercial Paper: Section 3(a)(3) Exemption; Integration of Separate Offerings; Resales of Restricted and Control Securities Under Rule 144; and Rule 145. Part Two is devoted to independence of accountants. Part Three discusses registration as a broker-dealer and Rule 14a-8: Shareholder Proposals from the Securities Act of 1934.

Features

  • Contains extensive cross-references
  • Organizes and classifies letters by subject matter
  • Provides in-depth analysis so you’ll know which ones apply to your situation
  • Reproduces key letters, rules, and releases in full

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