Exempted Transactions Under the Securities Act of 1933 (Vols. 7, 7A and 7B, Securities Law Series)

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Author(s):

J. William Hicks

Product details:

Brand: Clark Boardman Callaghan

Service #: 16622712

Sub #: 16622711

Publication Frequency: Updated quarterly

Update format: Replacement pages

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Exempted Transactions Under the Securities Act of 1933 (Vols. 7, 7A and 7B, Securities Law Series)

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The expert analysis in Exempted Transactions Under the Securities Act of 1933 explains how to obtain maximum benefit from transactional exemptions and provides guidance to issuers, affiliates, underwriters, and broker-dealers. Featuring detailed treatment of all statutory and regulatory foundations of the exemptions, this work discusses:

• How each exemption is used and interpreted

• How exemption provisions or rules compare with other exemptions

• How exemptions comport with disclosure philosophy underlying the Securities Act

With this title:

• Assess current law through an extensive review of SEC no-action and interpretive letters

• Identify crucial liability issues

• Avoid the perils associated with selling restricted securities (and avoid costly oversights)

• Advise your employer or clients on how the laws have been implemented by the SEC

Summary of contents
Replacement pages

Volume 7
Chapters

Introduction
Recapitalizations Under Section 3(a)(9)
Reorganization With Court or Agency Approval: Section 3(a)(10)
Intrastate Offerings Under Section 3(a)(11)
Reorganization of Bank or Savings Association Into Holding Company: Section 3(a)(12)

Volume 7A

Mini-Registration Under Section 3(b): Regulation A
Limited Offering Exemptions: Regulation D
Miscellaneous Exemptions Under Sections 3(b) and 3(c)

Volume 7B

Routine Trading Under Section 4(1)
Resale of Restricted and Controlled Securities: Rule 144

10A. Private Resales: Rule 144A

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