Regulation of Securities

Regulation of Securities: SEC Answer Book, Third Edition is a comprehensive guide to understanding and complying with the day-to-day requirements of the federal securities laws. Using a question and answer format similar to that which the SEC has embraced, this guide provides public corporations, lawyers, and accountants, as well as company officers, directors, and large shareholders with straightforward answers to the most frequently asked questions on securities regulation and convenient access to the relevant rules, procedures, caselaw, and forms.

The third edition of Regulation of Securities: SEC Answer Book significantly expands and updates the previous edition and includes chapters on:

- Introduction to securities regulation, including the modernized EDGAR system
- Periodic reporting under sections 13(a) and 15 (d)
- Reporting of beneficial ownership under sections 13(d) and 13(g)
- Insider reporting under section 16(a)
- Short-swing trading and exemptions under section 16(b)
- Tender offer disclosure requirements
- Proxy solicitations under section 14(a)
- Securities fraud under Rule 10b-5
- Use of electronic media
- Selling restricted and control securities under Rule 144
- Private re-sales to institutional investors under Rule 144A
- Going private transactions under Rule 13e-3
- Audit committee requirements
- Prohibition of insider trading during pension blackout periods