SEC Compliance and Disclosure Interpretations, 2nd Edition

Law › Securities

SEC Compliance and Disclosure Interpretations, 2nd Edition

By CCH Editors
Aspen September 2011

Specifications

ISBN-13
9780808029120
Publisher
Aspen
Publication
September 2011
Format
Paperback , 780 pages
Jurisdiction
U.S. ? Countri(es) for reference only

Details

A collection of "compliance and disclosure interpretations" (C&DIs), previously known as "telephone interpretations," issued by the SEC's Division of Corporation Finance regarding the statutes, regulations and forms that it administers. Organized by topic and act, the manual provides helpful guidance on how the staff might proceed under various regulatory scenarios. The manual includes citations to the controlling authority (e.g., law section, rule, item, form), as well as history notes indicating when the interpretation was issued, modified and/or rescinded. Coverage includes new and revised interpretations issued through July 8, 2011, e.g., new guidance on Regulation S-K (see Chapter 6), Form 8-K (see Chapter 15), and non-GAAP financial measures (see Chapter 24).

Table of Contents

Foreword

Chapter 1 - Securities Act Law Sections

Chapter 2 - Securities Act Rules - General Applicability

Chapter 3 - Securities Act Rules - Particular Situations

Chapter 4 - Industry Guides

Chapter 5 - Securities Act Forms

Chapter 6 - Regulation S-K

Chapter 7 - Exchange Act Law Sections

Chapter 8 - Exchange Act Rules

Chapter 9 - Proxy Rules and Schedule 14A

Chapter 10 - Section 13(d) and 13(g) and Regulations 13D-G

Chapter 11 - Going-Private Rules and Schedule 13E-3

Chapter 12 - Tender Offer Rules and Schedules

Chapter 13 - Section 16, Related Rules and Forms

Chapter 14 - Exchange Act Forms

Chapter 15 - Form 8-K

Chapter 16 - Trust Indenture Act of 1939

Chapter 17 - Regulation M-A and Cross-Border Release

Chapter 18 - Regulation FD

Chapter 19 - Regulation AB and Related Rules

Chapter 20 - Regulation S-T

Chapter 21 - Regulation S-X

Chapter 22 - American Recovery and Reinvestment Act of 2009

Chapter 23 - Proxy Disclosure Enhancements Transition

Chapter 24 - Non-GAAP Financial Measures

Topical Index

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