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
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
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