Business and Finance

US Master Federal Securities Law Guide 2006 Edition

AREA: US

Price 15,800yen (16,590yen included tax)

Pub. August 2006

ISBN 0-8080-1547-8

US Master Federal Securities Law Guide 2006 Edition

The U.S. Master Federal Securities Law Guide is an essential roadmap to the vast body of federal securities laws, regulations and forms. The guide offers comprehensive, yet concise, explanations and analysis that help put the material in perspective.

It covers the most significant provisions and SEC rules under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the Sarbanes-Oxley Act of 2002. The discussion is arranged by topic, including the following major areas: securities registration, prospectuses, issuer reporting, proxies, tender offers, insider transactions, fraud liability, market regulation, broker-dealers, investment companies, investment advisers, accounting and auditing, attorney reporting, and privacy.

The 2006 edition includes a new chapter on corporate governance, including discussion of the role of directors and responsibilities of various board committees. It also examines recent SEC staff guidance on internal control over financial reporting, as well as guidance from the PCAOB on Auditing Standard No. 2. In addition, the work discusses SEC interpretative guidance on the oft dollars・safe harbor, explains recent rulemaking on accelerated filing deadlines, reflects new filing fees and includes expanded discussion of the SEC's securities offering reforms.

The SEC's securities offering reforms, such as:

  • An in-depth overview of the entire federal securities regulation field. The perfect product for someone who neither wants nor has time for the full-blown treatise treatment, but for whom a nutshell treatment is not deep enough or sufficient enough.
  • Each topic area receives more than cursory treatment, so that any subject area the reader may get into will be sufficiently covered.
  • A softcover one-volume that is easy to carry for quick reference.
  • Many citations to the CCH Federal Securities Law Reporter for those who wish to continue their research in more depth.
Contents Includes

Chapter 1: INTRODUCTION

Chapter 2: SECURITIES ACT REGISTRATION

Chapter 3: PROSPECTUSES

Chapter 4: EXEMPTIONS FROM REGISTRATION

Chapter 5: SECURITIES ACT LIABILITIES

Chapter 6: EXCHANGE ACT REGISTRATION

Chapter 7: ISSUER REPORTING AND DISCLOSURE

Chapter 8: PROXIES

Chapter 9: TENDER OFFERS; PURCHASES BY ISSUER

Chapter 10: BENEFICIAL OWNERSHIP REPORTING

Chapter 11: FRAUD; INSIDER TRADING; PRIVATE LITIGATION REFORM

Chapter 12: INSIDER REPORTING; SHORT-SWING PROFITS; SHORT SALES

Chapter 13: SEC ENFORCEMENT

Chapter 14: MARKET REGULATION; BROKER-DEALERS

Chapter 15: INVESTMENT COMPANIES

Chapter 16: INVESTMENT ADVISERS

Chapter 17: ACCOUNTING AND AUDITING

Chapter 18: ATTORNEY REPORTING DUTIES

Chapter 19: PRIVACY RULES

Chapter 20: CORPORATE GOVERNANCE

Topical Index