Securities Practice Guide

Provides step-by-step outlines with an analytical overview, checklists, expert practice tips, cross-references to complementary analytical products and a guide to using lexis.com® for deep-dive research into securities issues and coverage of the Dodd-Frank Act.

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2024 Edition
ISBN: 9781663386649
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ISBN: 9781663386656
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2024 Edition
ISBN: 9781663386656
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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.

The 2023 edition ISBN is 9781663360922.

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Table of contents

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 SPECIALIZED OFFERINGS

CHAPTER 7 REPORTING REQUIREMENTS FOR PUBLICLY HELD COMPANIES UNDER THE SECURITIES EXCHANGE ACT OF 1934

CHAPTER 8 NAVIGATING THE PROXY RULES

CHAPTER 9 TENDER OFFERS

CHAPTER 10 DISCLOSURE REQUIREMENTS FOR, AND TRADING RESTRICTIONS ON, INSIDERS AND SIGNIFICANT SHAREHOLDERS OF PUBLIC COMPANIES

CHAPTER 11 CIVIL LIABILITIES