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Securities Filings 1992: Review and Update

Chair(s): Alan K. Austin

Practice Area: Regulation and compliance (Securities and other financial products), Securities and other financial products, Securities filings and financial statements

Published: Nov 1992 i Other versions can be found in the Related Items tab.
ISBN: N/A
PLI Item #: 179127
CHB Spine #: B794

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Front Matter
Table of Contents
Chapter 1. STATUTORY FRAMEWORK OF THE 1933 AND 1934 ACT FILING REQUIREMENTS
Chapter 2. COLLECTING AND VERIFYING INFORMATION FOR THE ANNUAL DISCLOSURE DOCUMENTS: OF QUESTIONNAIRES AND OTHER TECHNIQUES
Chapter 3. PROXY STATEMENTS AND PROXIES UNDER THE SECURITIES EXCHANGE ACT OF 1934
Chapter 4. PREPARATION OF THE ANNUAL REPORT ON FORM 10-K
Chapter 5. ANNUAL REPORTS TO SECURITYHOLDERS AND DISCLOSURE IN ANNUAL REPORTS
Chapter 6. RISK FACTORS DISCLOSURE
Chapter 7. REGISTRATION STATEMENTS UNDER THE SECURITIES ACT OF 1933
Chapter 8. FORM S-8: REGISTERED OFFERINGS UNDER EMPLOYEE BENEFIT PLANS
Chapter 9. INTERIM AND QUARTERLY REPORTS: FORM 10-Q AND FORM 8-K
Chapter 10. SEC REVIEW PRACTICES: A PRIMER
Chapter 11. REGISTRATION STATEMENTS UNDER THE SECURITIES EXCHANGE ACT OF 1934: FORM 10, FORM 8-A, AND FORM 8-B
Chapter 12. EXHIBITS, AMENDMENTS AND LATE FILINGS
Chapter 13. RESALES OF SECURITIES UNDER RULE 144 AND RULE 144A
Chapter 14. SCHEDULES 13D AND 13G: REPORTING BENEFICIAL OWNERSHIP OF REGISTERED VOTING SECURITIES
Chapter 15. LIABILITY FOR SHORT-SWING PROFITS AND REPORTING OBLIGATIONS UNDER SECTION 16 OF THE SECURITIES EXCHANGE ACT OF 1934
Chapter 16. SMALL BUSINESS INITIATIVES
Appendix A. RULEMAKING FOR EDGAR SYSTEM (PARTIAL TEXT) RELEASE NO. 33-6944/34-30951 (8/7/92)
Appendix B. PROPOSED RULES FOR REGULATION OF COMMUNICATIONS AMONG SECURITYHOLDERS, RELEASE NO. 34-30849 (6/24/92), AND FINAL RULES AS OF 10/16/92
Appendix C. PROPOSED RULE AND FORM FOR EXECUTIVE COMPENSATION DISCLOSURE, RELEASE NO. 34-30851 (6/23/92), AND FINAL RULES AS OF 10/16/92

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