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Nuts & Bolts of Securities Laws 2003
Larry D. Soderquist, Barbara Mendel Mayden, Gary M. Brown
Banking, Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. The Sarbanes-Oxley Act of 2002, July 30, 2002
Chapter 2. SEC Final Rule 33-8185; Implementation of Standards of Professional Conduct for Attorneys
Chapter 3. Summary by the Division of Corporation Finance of Significant Issues Addressed in the Review of the Periodic Reports of the Fortune 500 Companies
Chapter 4. Reach of Securities Act Registration: What is a Security?
Chapter 5. Securities Act Registration Process
Chapter 6. Liability for Short-Swing Profits: Section 16(b)
Chapter 7. Exempt Transactions: Practical Ways to Sell Securities
Chapter 8. Resales by Security Holders
Chapter 9. Complying with Proxy Rules: Living with the Springtime Ritual
Chapter 10. Exchange Act Registration and Reporting – What a Public Company Should Know
Chapter 11. Insider Trading
Chapter 12. Ethical and Legal Issues Facing Securities Lawyers
Chapter 13. Corporate/Securities Attorneys: Ethical and Legal Concerns
Chapter 14. "Tips" to Avoid Corporate/Securities Malpractice
Chapter 15. The Plight of "Secondary Actors" Under Section 10(b): Distinguishing Primary from Secondary Liability
Chapter 16. Corporate Counsel: Roles and Liabilities – An Essay for Professor Walter Steele
Chapter 17. The Role of Inside Counsel in the 1990s: A View from Outside
Chapter 18. Corporate and Securities Malpractice
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