Regulation of Securities: Sec Compliance and Practice

By Steven Mark Levy

Regulation of Securities: SEC Compliance and Practice 2003 Edition is a comprehensive guide to understanding and complying with the day-to-day requirements of the federal securities laws. Using a question and answer format similar to that which the SEC has embraced, this guide provides public corporations, lawyers, and accountants, As well as company officers, directors, and large shareholders with straightforward answers To The most frequently asked questions on securities regulation and convenient access To The relevant rules, procedures, caselaw, and forms. The 2003 edition of Regulation of Securities: SEC Compliance and Practice significantly expands and updates the previous edition and includes chapters on: Introduction to securities regulation, including the modernized EDGAR system Periodic reporting under sections 13(a) and 15 (d) Reporting of beneficial ownership under sections 13(d) and 13(g) Insider reporting under section 16(a) Short-swing trading and exemptions under section 16(b) Tender offer disclosure requirements Proxy solicitations under section 14(a) Securities fraud under Rule 10b-5 Use of electronic media Selling restricted and control securities under Rule 144 Private resales to institutional investors under Rule 144A Going private transactions under Rule 13e-3

• Format: Hardcover
• Language: English
• ISBN: 0735530521
• ISBN13: 9780735530522
• Release Date: November 2002
• Publisher: Aspen Law & Business
• Weight: 3.45 lbs.
• Dimensions: 10.3" x 1.8" x 7.3"

Customer Reviews

Recomended

This recomended book has been thoroughly revised and updated to reflect the Sarbanes-Oxley Act and other developments, and is now in three-ring binder format to accomodate future annual supplements. The revised book is titled "Regulation of Securities: SEC Answer Book, Third Edition," published by Aspen Publishers.

Useful addition for the corporate governance library

Regulation of Securities: SEC Compliance and Practice is a useful handbook on securities compliance for public companies. The Second Edition adds a new chapter on going private transactions, and seems to expand and update the previous material fairly extensively. The book is not an academic treatise. There are no lengthy footnotes, and no theoretical discussions about what the securities laws might be or should be. Rather, the book answers real-world questions in a straightforward manner, gives contextual background, provides illustrative examples, and points you to the most relevant primary sources if further information is required. There are 12 chapters:1. Introduction to securities regulation (including a section on EDGAR)2. Periodic reporting under Sections 13(a) and 15(d)3. Reporting of beneficial ownership under Sections 13(d) and 13(g)4. Insider reporting under Section 16(a)5. Short-swing trading and exemptions under Section 16(b)6. Tender offer disclosure requirements7. Proxy solicitations under Section 14(a)8. Securities fraud under Rule 10b-59. Use of electronic media10. Selling restricted and control securities under Rule 14411. Private resales to institutional investors under Rule 144A12. Going private transactions under Rule 13e-3. This is a good book to consider for any corporate governance library.

Authoritative, Well-Written Guide

I would give this book high marks as a thorough but very readable guide to complying with SEC rules and regulations on a day-to-day basis for public corporations, corporate insiders and their counsel. I actually like the question and answer format, which makes it fairly easy to find the exact information you are looking for. The index and tables are also well done. The other nice feature is that the book not only gives the rules and how to comply with them (for example, periodic reporting, Rule 144, short-swing profits, insider trading, etc.) but also the rationale behind the rules and historical background. Overall, a good investment and a five-star rating.