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Author: Gary M. Brown
Publisher:
ISBN: 9781402418969
Category : Going public (Securities)
Languages : en
Pages : 0
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Book Description
In one concise volume, the new sixth edition of 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
Author: Gary M. Brown
Publisher:
ISBN: 9781402418969
Category : Going public (Securities)
Languages : en
Pages : 0
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Book Description
In one concise volume, the new sixth edition of 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
Author: David M. Brodsky
Publisher:
ISBN: 9781574000320
Category : Law
Languages : en
Pages : 516
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Book Description
Disk contains forms from the printed text in WordPerfect 5.1 format.
Author: Robert A. Fippinger
Publisher:
ISBN:
Category : Bonds
Languages : en
Pages : 480
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Book Description
Author: American Bar Association. House of Delegates
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
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Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Author: Robert E. Buckholz, Jr.
Publisher:
ISBN: 9781402423154
Category :
Languages : en
Pages : 0
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Book Description
Expanded and completely reorganized to meet the needs of today's increasingly prescriptive environment, Public Company Deskbook: Complying with Federal Governance and Disclosure Requirements is your one-stop center for expert counsel on how to deal effectively with the overlapping legislative, regulatory and private initiatives to reform public company governance and disclosure practices over the past decade. The enhanced Deskbook provides in-depth practical guidance centered around each of the following areas: Board Structure & Governance; Shareholder Meetings; Audit Committee, Auditor Policy & Auditor Disclosure; Compensation Committee, Compensation Policy & Compensation Disclosure; Public Company Reporting & Compliance; and Corporate Investigations & Whistleblowing. Included are numerous sample forms, checklists and documents, such as sample committee charters, director and officer questionnaires and annual meeting timelines for both NYSE- and Nasdaq-listed companies. Also addressed are current shareholder relations, including the prevalence, SEC-profile and outcome of common shareholder proposals, an analysis of proxy-advisor withhold recommendations and a comprehensive activist update. Written by three partners with Sullivan & Cromwell LLP, Public Company Deskbook: Complying with Federal Governance & Disclosure Requirements, Third Edition is an indispensable resource for securities practitioners, compliance officers, directors, officers, accountants, auditors, and research analysts, and an important reference for securities regulators.
Author: William M. Prifti
Publisher:
ISBN:
Category : Securities
Languages : en
Pages :
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Book Description
Author: Clifford E. Kirsch
Publisher:
ISBN: 9781402407710
Category : Business & Economics
Languages : en
Pages : 0
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Book Description
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Author:
Publisher:
ISBN: 9781402408120
Category : Corporate governance
Languages : en
Pages : 0
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Book Description
Deskbook on Internal Investigations, Corporate Compliance and White Collar Issues provides that necessary information. Stocked with easy-to-follow checklists, the Deskbook shows you how to carry out internal investigations that spot and stop legal problems, protect the rights of employees when they're subject to investigation or prosecution, and cooperate with government investigators in ways that help reduce legal and financial damage if wrongdoing is proved.
Author: Nicole S. Healy
Publisher:
ISBN: 9781402422652
Category : Money laundering
Languages : en
Pages :
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Book Description
Author: John T. Bostelman
Publisher: Practising Law Inst
ISBN: 9781402403040
Category : Law
Languages : en
Pages : 2995
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Book Description
Called "the bible for securities lawyers" by FORTUNE MAGAZINE!The new Sarbanes-Oxley Deskbook is todays most comprehensive and current one-stop guide to the far-reaching public company governance, disclosure, and reporting reforms triggered by the Sarbanes-Oxley Act of 2002 and related SEC, NYSE, and NASD initiatives.Designed to help attorneys, directors, officers, accountants, auditors, and research analysts, The Sarbanes-Oxley Deskbook offers you a uniquely clear understanding of these daunting new requirements and the procedures you must implement to ensure full, problem-free compliance. Covering strict CEO/CFO certification standards, expanded prohibitions on non-audit services, new bans on loans to insiders, new attorney up-the-ladder disclosure requirements, and other mandates, the Deskbook offers you: . Clause-by-clause analysis of the SOA and related rules - with expert commentary on how to proceed in the wake (or absence) of official guidance. Step-by-step direction on how to satisfy all new governance, disclosure, and reporting standards - with the help of checklists and sample forms and committee charters. Clear warnings about the tougher new civil and criminal penalties for SOA-related violations
