Solicitations Of Interest Prior To A Registered Public Offering Release

Author : Sec
Publisher : Independently Published
ISBN 13 : 9781797579931
Total Pages : 80 pages
Book Rating : 4.32/5 ( download)

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Download or read book Solicitations of Interest Prior to a Registered Public Offering: Release written by Sec and published by Independently Published. This book was released on 2019-02-19 with total page 80 pages. Available in PDF, EPUB and Kindle. Book excerpt: This is the proposed new rules on Solicitations of Interest Prior to a Registered Public Offering dated FEB 19, 2019. The Securities and Exchange Commission (SEC) requesting comment on a proposed new rule under the Securities Act of 1933 that would permit issuers to engage in oral or written communications with potential investors that are, or are reasonably believed to be, qualified institutional buyers or institutional accredited investors, either prior to or following the filing of a registration statement, to determine whether such investors might have an interest in a contemplated registered securities offering. In 2012, Congress passed the Jumpstart Our Business Startups Act (the "JOBS Act"), which created new Section 5(d) of the Securities Act. Section 5(d) permits an emerging growth company ("EGC") and any person authorized to act on its behalf to engage in oral or written communications with potential investors that are qualified institutional buyers ("QIBs"), as that term is defined in paragraph (a) of 17 CFR 230.144A ("Rule 144A"), and institutional accredited investors ("IAIs") before or after filing a registration statement to gauge such investors' interest in a contemplated securities offering. The Commission's rules have long recognized that QIBs and accredited investors have a level of financial sophistication and ability to sustain investment losses that render the protections of the Securities Act's registration process unnecessary. Why buy a hard copy book you can download for free? We print this so you don't have toYou could download the file and print it yourself but it's much easier to order a copy at Amazon.com. We print the paperback books a full 8 1/2 inches by 11 inches, with large text. There are also wide margins so you can jot down notes. 4th Watch Publishing Co. is a Service Disabled Veteran Owned Small Business (SDVOSB). Please visit www.usgovpub.com.

Author :
Publisher : Aspen Law & Business Publishers
ISBN 13 :
Total Pages : 254 pages
Book Rating : 4.63/5 ( download)

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Download or read book U.S. Regulation of the International Securities and Derivatives Markets written by and published by Aspen Law & Business Publishers. This book was released on 2002 with total page 254 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Brown
Publisher : Wolters Kluwer
ISBN 13 : 145488634X
Total Pages : 2280 pages
Book Rating : 4.41/5 ( download)

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Download or read book Regulation of Corporate Disclosure, 4th Edition written by Brown and published by Wolters Kluwer. This book was released on 2016-12-15 with total page 2280 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Regulation of Corporate Disclosure is a one-volume treatise on the disclosure regime in place under the Federal securities laws. The treatise addresses the formal disclosure process (periodic reports, MD&A, Regulation FD), the informal disclosure process (press releases, social media, discussions with analysts), and the application of the antifraud provisions to these communications. The treatise includes chapters on scienter and materiality, and also addresses communications with and disclosure obligations to shareholders. The Fourth Edition has been significantly revised and, among other topics, includes coverage of: The duties and responsibilities of corporate officials relating to the disclosure process The most recent cases addressing disclosure issues, including decisions by the Supreme Court on topics such as the application of the antifraud provisions to beliefs and opinions Pronouncements by the U.S. Securities and Exchange Commission on disclosure issues, including consideration of the SEC's efforts to improve disclosure effectiveness The developing need to consider disclosure of public interest matters, including the effects of climate change on a company's business The disclosure requirements applicable to the proxy process, including the system for uncovering the identity of street name owners State disclosure obligations of the board of directors under its fiduciary obligations to shareholders.

Author : American Bar Association. House of Delegates
Publisher : American Bar Association
ISBN 13 : 9781590318737
Total Pages : 216 pages
Book Rating : 4.30/5 ( download)

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Download or read book Model Rules of Professional Conduct written by American Bar Association. House of Delegates and published by American Bar Association. This book was released on 2007 with total page 216 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.

Author : Stacey Cunningham
Publisher :
ISBN 13 : 9780996498258
Total Pages : pages
Book Rating : 4.57/5 ( download)

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Download or read book NYSE IPO Guide written by Stacey Cunningham and published by . This book was released on 2021-04-15 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: The New York Stock Exchange's officially-branded IPO Guide

Author : Lane
Publisher : Wolters Kluwer
ISBN 13 : 1543805299
Total Pages : 1588 pages
Book Rating : 4.91/5 ( download)

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Download or read book Representing Corporate Officers and Directors and LLC Managers [formerly Representing Corporate Officers, Directors, Managers, and Trustees], 3rd Edition written by Lane and published by Wolters Kluwer. This book was released on 2018-12-19 with total page 1588 pages. Available in PDF, EPUB and Kindle. Book excerpt: Representing Corporate Officers and Directors and LLC Managers, Third Edition (formerly titled Representing Corporate Officers, Directors, Managers, and Trustees) is a guide to the practical aspects of corporate governance for attorneys, corporate officers and directors, LLC managers, and trustees. Following the repercussions of past corporate and accounting scandals, new legislation, rules, and standards by governmental bodies and society have greatly increased the focus on the responsibilities and liabilities of directors, officers, managers, and trustees. Increased SEC oversight, new NYSE and NASDAQ listing standards, new cybersecurity compliance guidance, new fiduciary and other duties, and new criminal penalties have all changed the landscape for those who control corporations. By logically laying out the steps to safe corporate governance, the analysis, cases, tables, and checklists guide the veteran and neophyte alike. Representing Corporate Officers and Directors and LLC Managers tells you what to look for...what to look out for...and what steps to take to protect your corporate clients in today's harsh regulatory environment. It's the only up-to-date work of its kind to offer both in-depth analysis and practical guidance on key aspects of this critically important area. This updated Third Edition thoroughly covers: Directors' duties of care and loyalty-- including the different standards which have been imposed on directors regarding the duty of care...the duty of loyalty...the business judgment rule... when directors are entitled to rely on the advice of others...improperly influencing audits under the Sarbanes-Oxley Act... improper distributions...and more. Conflicts of interest--with examples of conflict of interest transactions, and discussion of loans to or by directors and officers...secret profits...and the duty to safeguard confidential or inside information-- plus, how certain transactions considered improper can be ratified and thus become legitimate. Federal securities laws--including everything from overviews of the laws, the SEC, and securities themselves-- to jurisdiction, pleading, remedies, and defenses in securities cases... criminal penalties...and attorneys' responsibilities regarding liability under Sarbanes-Oxley. Indemnification and insurance-- with discussion of mandatory and permissive indemnification and the scope of indemnification in various states... when a director may be indemnified even if not wholly successful in defense of an action...directors' and officers' liability insurance...types and extent of insurance coverage...tax law treatment...and exclusions. Tender offers--including antitakeover measures, two-tier and squeeze-out mergers, and golden parachute agreements, poison pill plans, and greenmail...potential liability in tender offers...and implementing mergers and acquisitions, with securities law, antitrust, tax, accounting, and labor law considerations.

Author :
Publisher :
ISBN 13 :
Total Pages : 476 pages
Book Rating : 4.87/5 ( download)

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Download or read book Federal Register written by and published by . This book was released on 2013-09 with total page 476 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author :
Publisher :
ISBN 13 :
Total Pages : 62 pages
Book Rating : 4.73/5 ( download)

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Download or read book Complying with the telemarketing sales rule written by and published by . This book was released on 2004 with total page 62 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 974 pages
Book Rating : 4.88/5 ( download)

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Download or read book Investment Company Act Release written by United States. Securities and Exchange Commission and published by . This book was released on 1967 with total page 974 pages. Available in PDF, EPUB and Kindle. Book excerpt:

Author : Jerry W. Markham
Publisher : Edward Elgar Publishing
ISBN 13 : 1782540075
Total Pages : 563 pages
Book Rating : 4.76/5 ( download)

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Download or read book Research Handbook on Securities Regulation in the United States written by Jerry W. Markham and published by Edward Elgar Publishing. This book was released on 2014-07-31 with total page 563 pages. Available in PDF, EPUB and Kindle. Book excerpt: This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute