Securities Law Techniques

ebook Volume 7 · Securities Law Techniques (1)

By A. A. Sommer

cover image of Securities Law Techniques

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Contributions from over 50 leading practitioners in the field. The experts provide thorough treatment of securities registration and requirements exemptions therefrom, public reporting and recordkeeping requirements, common transactions (including the specific tasks of counsel, underwriters, accountants and company officers and directors), corporate charges and business combinations, as well as complete guidance for representing a client in securities litigation.

Topics covered include:

  • Exempt transactions
  • The registered first offering and subsequent offerings
  • Being public
  • Corporate changes
  • Insider trading
  • Investment companies and advisers
  • SEC and self-regulatory organization proceedings
  • Private litigation
  • Internal investigations
  • Arbitration

    Appendices feature checklists, sample forms, and timetables.

    First published in 1985.

    7 Volumes.

    View Chapter Excerpt Featured Federal Securities Law Publications

  • Securities Law Techniques