Lexis Nexis Securities Law Techniques
Select a format
International Order Inquiry
Select subscription type
Terms & conditions
Subscribers receive the product(s) listed on the Order Form and any Updates made available during the annual subscription period. Shipping and handling fees are not included in the annual price.
Subscribers are advised of the number of Updates that were made to the particular publication the prior year. The number of Updates may vary due to developments in the law and other publishing issues, but subscribers may use this as a rough estimate of future shipments. Subscribers may call Customer Support at 800-833-9844 for additional information.
Subscribers may cancel this subscription by: calling Customer Support at 800-833-9844; emailing customer.support@lexisnexis.com; or returning the invoice marked "CANCEL".
If subscribers cancel within 30 days after the product is ordered or received and return the product at their expense, then they will receive a full credit of the price for the annual subscription.
If subscribers cancel between 31 and 60 days after the invoice date and return the product at their expense, then they will receive a 5/6th credit of the price for the annual subscription. No credit will be given for cancellations more than 60 days after the invoice date. To receive any credit, subscriber must return all product(s) shipped during the year at their expense within the applicable cancellation period listed above.
The total price includes the product(s) listed in the Order Form and any Updates for a limited period (minimum period of 30 days) after the order is placed ("Order Window"). Shipping and handling fees are not included in the grand total price.
All shipments may be returned, at subscribers' expense, for full credit of the Price within 30 days of receipt.
Shipments may not be returned, and no credits will be issued, more than 30 days after receipt.
After the Order Window, subscribers will receive notice of Updates along with the then-current grand total price and order process as Updates become available. Subscribers will only be shipped those Updates they specifically request.
Product description
View a sample of this title using the ReadNow feature
Contributions from over 50 leading practitioners in the field. The experts provide thorough treatment of securities registration and requirements exemptions therefrom, public reporting and recordkeeping requirements, common transactions (including the specific tasks of counsel, underwriters, accountants and company officers and directors), corporate charges and business combinations, as well as complete guidance for representing a client in securities litigation.
Topics covered include:
• Exempt transactions
• The registered first offering and subsequent offerings
• Being public
• Corporate changes
• Insider trading
• Investment companies and advisers
• SEC and self-regulatory organization proceedings
• Private litigation
• Internal investigations
• Arbitration
Appendices feature checklists, sample forms, and timetables.
First published in 1985.
7 Volumes.
View Chapter Excerpt: Featured Federal Securities Law Publications
eBooks, CDs, downloadable content, and software purchases are noncancelable, nonrefundable and nonreturnable. Click here for more information about LexisNexis eBooks. The eBook versions of this title may feature links to Lexis+® for further legal research options. A valid subscription to Lexis+® is required to access this content.
Table of contents
VOLUME 1
PART I: EXEMPT SECURITIES AND TRANSACTIONS
Chapter 1 Overview of Registration Exemptions
Chapter 2 Private Placements and Regulation D
Chapter 3 Offerings of Securities Pursuant to Regulation A
Chapter 4 Section 3(a)(9): Recapitalizations
Chapter 5 Section 3(a)(10): Officially Sanctioned Exchanges
Chapter 6 Section 3(a)(7)—Certificates of Receivers, Trustees, and Debtors-in-Possession
Chapter 7 FINRA Rules for Private Placements
Chapters 8–12 [Reserved]
PART II: THE REGISTERED FIRST OFFERING
Chapter 13 The Registered First Offering
Chapter 14 Registration Process in a Nutshell
Chapter 15 The Initial Underwritten Public Offering
VOLUME 2
PART II: THE REGISTERED FIRST OFFERING (Continued)
Chapters 16–18 [Reserved]
Chapter 19 Preparing the Registration Statement
Chapter 20 SEC Regulation of Financial Reporting in the Integrated Disclosure System
Chapter 21 Problems of Debt Offerings
Chapter 22 FINRA Rules for Public Offerings
Chapter 23 Listing Securities on a Stock Exchange and Other Secondary Market Trading
Matters
Chapter 24 The Process of Becoming “Effective”
Chapter 25 Blue Sky Registration
VOLUME 3
Chapter 26 Post-Effective Matters
Chapter 27 Regulation M
Chapter 28–29 [Reserved]
Chapter 30 Responsibilities for Registered Offerings
Chapters 31–35 [Reserved]
PART III: SUBSEQUENT OFFERINGS
Chapter 36 Additional Public Offerings: Uses of Various Forms
Chapter 37 Shelf Registration and Related Due Diligence Challenges
Chapter 38 Secondary Offerings
Chapter 39 Rule 144
Chapter 40 Rule 144A
Chapters 41–46 [Reserved]
VOLUME 4
PART IV: BEING PUBLIC
Chapter 47 Registration Under the Exchange Act
Chapter 48 Issues in Secondary Market Trading
Chapter 49 [Reserved]
Chapter 50 Annual Report to the Commission—Form 10-K
Chapter 51 Quarterly Reports on Form 10-Q
Chapter 52 Current Reports on Form 8-K
Chapter 53 Proxy Statement and Annual Report to Shareholders
Chapter 54 Shareholder Initiatives
Chapter 55 Conducting the Annual Meeting
Chapters 56–63 [Reserved]
VOLUME 5
PART V: CORPORATE CHANGES
Chapter 64 Public Limited Partnerships and Other Alternatives to the Corporate
Organizational Structure
Chapter 65 Preparing the Business Combination Registration Statement
Chapter 66 Why, When and How to Conduct a Proxy Contest for Corporate Control
Chapter 67 Going Private—Rule 13e-3
Chapter 68 State Law on Going Private: Developments in Delaware Law
Chapter 69 Regulation of Issuer Share Repurchases
Chapter 70 Williams Act—An Overview
Chapter 71 Williams Act—Beneficial Ownership Disclosure
Chapter 72 Williams Act—Tender Offer Regulation
VOLUME 6
Chapters 73–79 [Reserved]
PART VI: INSIDER TRADING
Chapter 80 Insider Trading Under Section 10(b) and Related Provisions of the Securities
Laws
Chapter 81 Insider Trading Under Section 16 of the Securities Exchange Act
Chapter 82 Complying with the Foreign Corrupt Practices Act
PART VII: SRO AND SEC PROCEEDINGS
Chapter 83 Self-Regulatory Organization Proceedings
Chapter 84 Arbitration
Chapter 85 SEC Proceedings—An Overview
Chapter 86 Securities Enforcement Investigations
Chapter 87 The SEC Standards of Professional Conduct For Attorneys
Chapter 88 The SEC Administrative Hearing
Chapter 89 SEC Civil Injunctive Proceedings
Chapter 90 [Reserved]
VOLUME 7
PART VIII: PRIVATE LITIGATION
Chapter 91 The Uses and Functions of Experts in Securities Litigation
Chapter 92 Practice Before the Judicial Panel on Multidistrict Litigation
Chapter 93 The Attorney-Client Privilege, the Work Product and Common Interest
Doctrines
Chapter 94 Collateral Estoppel
PART IX: INVESTIGATIONS
Chapter 95 Internal Investigations
Chapter 96 Bankruptcy Trustee and Examiner Investigations
PART X: INDEMNIFICATION AND INSURANCE
Chapter 97 Indemnification and Securities Litigation
Chapter 98 Directors’ and Officers’ and Related Forms of Liability Insurance
Chapter 99 [Reserved]
VOLUME 8
PART XI: INVESTMENT COMPANIES AND INVESTMENT ADVISERS
Chapter 100 Investment Company Act of 1940
Chapter 101 The Investment Advisers Act of 1940
Chapter 102 Federal Regulation of Hedge Funds
Chapter 103 Exchange-Traded Funds (ETFs)
Chapter 104 Collective Investment Trusts (CITs)
Chapter 105 Mutual Fund Distribution Activities
Chapter 106 Environmental, Social, Governance (ESG) Funds and Strategies
Chapter 107 Private Equity Funds
Index
Related products
-
California WCAB Noteworthy Panel Decisions Reporter$880.00 -
New!
Deering's California Desktop Code Series, Business and Commercial CodesNew!Estimated: December 12, 2024$237.00 -
New!
California Corporations Code and Commercial Code with Securities Rules and ReleasesNew!Estimated: December 18, 2024$239.00