Securities Practice Guide

12 Chapters of step-by-step outlines with an analytical overview, checklists, expert practice tips, cross-references to complementary analytical products.

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2021 Edition
ISBN: 9781663318879
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2021 Edition
ISBN: 9781663318886
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Securities Practice Guide dissects important securities tasks, providing you a step-by-step outline with an analytical overview, checklists, expert practice tips, cross-references to complementary analytical products. This step-by-step guide to securities transactions is written by attorneys at K&L Gates. They share their knowledge, practice tips and deep understanding of securities ins-and-outs in this task based practice guide.

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Table of contents

Contains 12 Chapters:
Chapter 1 Overview of Federal and State Securities Legislation
Chapter 2 Overview of Securities Offering Regulation under the Securities Act of 1933
Chapter 3 Exemptions From 1933 Act Registration--Exempt Securities and Exempt Transactions
Chapter 4 Becoming a Public Reporting Company Through the Initial Offering Process (IPO)
Chapter 5 Public Offerings by Public Companies
Chapter 6 Exchange Offers
Chapter 7 Specialized Offerings
Chapter 8 Reporting Requirements for Publicly Held Companies Under the Securities Exchange Act of 1934
Chapter 9 Navigating the Proxy Rules
Chapter 10 Tender Offers
Chapter 11 Disclosure Requirements For, and Trading Restrictions On, Insiders and Significant Shareholders of Public Companies
Chapter 12 Civil Liabilities