Securities Law and Practice Deskbook (Corporate and Securities Law Library)

In one concise volume, the new sixth edition of Securities Law and Practice Deskbook contains thorough but accessible insight into securities law
and regulation, including the sweeping Dodd-Frank changes and the Commission’s recent enactment of the “proxy access” rules. Featuring step-by-step
checklists that spotlight what you should and should not do as an adviser in the securities arena, this practical treatise enables you to help corporate entities
• Deal effectively with the Securities Act registration process — focusing on the procedures, disclosure requirements, and documents involved,
including the drafting of prospectuses, the due diligence necessary to ensure accuracy, and electronic filing • Handle registration and reporting under
the Exchange Act — both initial and mandated periodic reporting, including the revisions made under both Sarbanes-Oxley and the recent financial
reform legislation • Minimize liability risks under the Exchange Act — by understanding what triggers violations under Rule 10b-5, Section 16(b),
and Section 14, and by avoiding such practices as churning and market manipulation Securities Law and Practice Deskbook covers the recent legislative,
regulatory and judicial changes that • Revised the net worth standard of qualifying as an accredited investor • Increased the SEC’s ability to impose
penalties in cease-and-desist proceedings • Requires the creation of “claw-back” provisions in listed company compensation plans • Significantly revised
“proxy access” and “proxy voting” regulations