SEC Compliance and Disclosure Interpretations

Law › Securities

SEC Compliance and Disclosure Interpretations

Aspen October 2009

Specifications

ISBN-13
9780808022633
Publisher
Aspen
Publication
October 2009
Format
Paperback
Jurisdiction
U.S. ? Countri(es) for reference only

Details

This publication is a collection of "compliance and disclosure interpretations," 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.

SEC Compliance and Disclosure Interpretations includes links 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law section, rule, item, form), as well as history notes indicating when the interpretation was issued, modified and/or rescinded.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 September 14, 2009, e.g., new guidance on Regulation 13D-G (see Chapter 10); Regulation FD (see Chapter 18), Regulation S-K (see Chapter 6), Exchange Act rules and forms (see Chapters 8 and 14), Regulation S-T (see Chapter 20), and the American Recovery and Reinvestment Act of 2009 (see Chapter 21). Periodic updates.

Table of Contents

  1. Securities Act Law Sections
  2. Securities Act Rules - General Considerations
  3. Securities Act Rules - Particular Situations
  4. Industry Guides
  5. Securities Act Forms
  6. Regulation S-K
  7. Exchange Act Law Sections
  8. Exchange Act Rules
  9. Proxy Rules and Schedule 14A
  10. Section 13(d) and 13(g) and Regulations 13D-G
  11. Going-Private Rules and Schedule 13E-3
  12. Tender Offer Rules and Schedules
  13. Section 16, Rules and Forms
  14. Exchange Act Forms
  15. Form 8-K
  16. Trust Indenture Act of 1939
  17. Regulation M-A and Cross-Border Release
  18. Regulation FD
  19. Regulation AB and Related Rules
  20. Regulation S-T
  21. American Recovery and Reinvestment Act of 2009

Topical Index

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