SEC Compliance & Disclosure Interpretations.

SEC Compliance & Disclosure Interpretations.

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Bibliographic Details
Imprint:[New York] : Wolters Kluwer, [2017]-
Description:1 online resource : digital
Language:English
Series:Securities (Federal), IntelliConnect.
Subject:
Securities -- United States.
Stock exchanges -- Law and legislation -- United States.
Securities.
Stock exchanges -- Law and legislation.
United States.
Format: E-Resource Journal
URL for this record:http://pi.lib.uchicago.edu/1001/cat/bib/9135586
Hidden Bibliographic Details
Other title:Securities Act Law Sections.
Securities Act Rules--General Applicability.
Securities Act Rules--Particular Situations.
Industry Guides.
Securities Act Forms.
Regulation S-K.
Exchange Act Law Sections.
Exchange Act Rules.
Proxy Rules and Schedule 14A.
Sections 13(d) and 13(g) and Regulation 13D-G.
Going-Private Rules and Schedule 13E-3.
Tender Offer Rules and Schedules.
Section 16, Related Rules and Forms.
Exchange Act Forms.
Form 8-K.
Trust Indenture Act of 1939.
Regulation M-A, Other Rules and the Cross-Border Release.
Regulation FD.
Regulation AB and Related Rules.
Regulation S-T.
Regulation S-X.
American Recovery and Reinvestment Act of 2009.
Proxy Disclosure Enhancements Transition.
Non-GAAP Financial Measures.
Fixing America's Surface Transportation (FAST) Act.
Regulation Crowdfunding.
Topical Index.
Other authors / contributors:Wolters Kluwer (Firm)
Frequency:Periodic
Notes:Includes bibliographical references and index.
Online resource; title from contents screen of Securities (Federal) practice area (IntelliConnect, viewed January 07, 2017).
Summary:A collection of compliance and disclosure interpretations (C & DIs), previously known as "telephone interpretations," issued by the SEC Division of Corporation Finance regarding the statutes, regulations and forms that it administers. Organized by topic and act, the manual provides helpful guidance on how the staff might proceed under various regulatory scenarios. The manual includes links to the controlling authority (e.g., law section, rule, item, form), as well as history notes indicating when the interpretation was issued, modified and/or rescinded.
Table of Contents:
  • Explanation about Securities Act Law and Securities Act Rules for General as well as Particular Situation Applicability
  • Detail guidelines about SEC Compliance and Disclosure Interpretation for Real Estate industry, Mining Industry and Oil/Gas Industry
  • Explanation about Exchange Act Law Sections and Exchange Act Rules
  • Explanation about Proxy Rules
  • Sections 13(d) and 13(g) and Regulation 13D-G
  • Explanation about Going-Private Rules and Tender offer Rules
  • Section 16, Related Rules and Forms
  • Exchange Act Forms
  • Form 8-K
  • Explanation about Trust Indenture Act of 1939
  • Regulation M-A, Other Rules and the Cross-Border Release
  • Regulation FD
  • Regulation AB and Related Rules
  • Regulation S-T
  • Regulation S-X
  • American Recovery and Reinvestment Act of 2009
  • Proxy Disclosure Enhancements Transition
  • Non-GAAP Financial Measures
  • Topical Index.

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