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SEC Compliance and Disclosure Interpretations

SEC Compliance and Disclosure Interpretations

SEC Compliance and Disclosure Interpretations

Publisher: Aspen
ISBN: 9780808022633
Published In: October 2009
Format: Paperback
Jurisdiction: U.S. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Description
Contents

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law section, rule, item, form), as well as history notes indicating when the interpretation was issued, modified and/or rescinded.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.

Securities Act Law Sections
Securities Act Rules - General Considerations
Securities Act Rules - Particular Situations
Industry Guides
Securities Act Forms
Regulation S-K
Exchange Act Law Sections
Exchange Act Rules
Proxy Rules and Schedule 14A
Section 13(d) and 13(g) and Regulations 13D-G
Going-Private Rules and Schedule 13E-3
Tender Offer Rules and Schedules
Section 16, Rules and Forms
Exchange Act Forms
Form 8-K
Trust Indenture Act of 1939
Regulation M-A and Cross-Border Release
Regulation FD
Regulation AB and Related Rules
Regulation S-T
American Recovery and Reinvestment Act of 2009

Topical Index

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