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Securities Filings 1995
Chair(s):
Alan K. Austin
Practice Area:
Securities and other financial products,
Securities filings and financial statements
Published:
Oct 1995
i
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ISBN:
N/A
PLI Item #:
178373
CHB Spine #:
A725
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Table of Contents
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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 DOCUMENTS
Chapter 3. SAMPLE TIME AND RESPONSIBILITY ANNUAL REPORTS TO SECURITYHOLDERS AND DISCLOSURE IN ANNUAL REPORTS
Chapter 4. PREPARATION OF THE ANNUAL REPORT ON FORM 10-K
Chapter 5. INTERIM AND QUARTERLY REPORTS: FORM 10-Q AND FORM 8-K
Chapter 6. PROXY STATEMENTS AND PROXIES UNDER THE SECURITIES AND EXCHANGE ACT OF 1934
Chapter 7. RESALES OF SECURITIES UNDER RULE 144 AND RULE 144A
Chapter 8. LIABILITY FOR SHORT-SWING PROFITS AND REPORTING OBLIGATIONS UNDER SECTION 16 OF THE SECURITIES AND EXCHANGE ACT OF 1934
Chapter 9. FORM S - 8: REGISTERED OFFERINGS UNDER EMPLOYEE BENEFIT PLANS
Chapter 10. RISK FACTORS DISCLOSURE
Chapter 11. REGISTRATION STATEMENTS UNDER THE SECURITIES EXCHANGE ACT OF 1934: FORM 10, FORM 8-A, AND FORM 8-B
Chapter 12. SCHEDULES 13D AND 13G: REPORTING BENEFICIAL OWNERSHIP OF REGISTERED VOTING SECURITIES
Chapter 13. EXHIBITS, AMENDMENTS, AND LATE FILINGS
Chapter 14. REGISTRATION STATEMENTS UNDER THE SECURITIES ACT OF 1933
Chapter 15. SMALL BUSINESS INITIATIVES
Chapter 16. TRADING ACTIVITIES IN CONNECTION WITH DISTRIBUTIONS: RULES 10B-6, 10B-7, AND 10B-8
Chapter 17. U.S. PUBLIC OFFERINGS AND PERIODIC REPORTING BY FOREIGN ISSUERS
Chapter 18. FINAL PROSPECTUS DELIVERY CONSIDERATIONS IN THE "T±3" TRANSACTION SETTLEMENT ENVIRONMENT
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