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証券法実務の最新手法の解説書

Securities Law Techniques

A. A. Sommer Jr. (General Editor)

7 vols. Looseleaf. 1985 to date.(追録年3回)

Matthew Bender. ISBN: 9780820516363

¥824,747

在庫あり

SECコミッショナー(1973-76年)を務めた証券法実務の第一人者、故Sommer弁護士(1924-2002)が編纂にあたった証券法実務の解説書。法律の体系的な解説や法理論の微細な検討を避けて、業務遂行に役立つ情報を、読者が迅速かつ的確に把握できるようにすることを企図した編集方針の下、証券の発行・流通に関わる重要論点およびリーガルリスクを、資本市場・M&A・企業統治・証券訴訟等の分野で豊富な経験を有する50余名のエキスパートがチェックリストや文書例をまじえて解説しています。
Sommer氏の没後も年3回のペースでアップデートされており、Sarbanes-Oxley法をはじめ、連邦証券諸法、SEC規則、青空法、自主規制機関による規則等の様々な規制の進展を踏まえた情報を提供しています。

本書は下記二部より構成されています。

(1) 取引全般−登録届出書類や株主委任状の作成、登録免除(私募、レギュレーションD・A等)の利用、財務報告、引受実務、レバレッジド・バイアウト、公開買付け規制(ウィリアム法)、SECや自主規制機関規則の遵守等 - に関する解説と実務テクニック

(2) 訴訟・手続−クラス・アクション、SECや自主規制機関の権能、州法訴訟、企業内部調査、等

【Table of Contents】

1. Overview of Federal Private Placement Exemptions

2. The Regulation D Exemption

3. Offerings of Securities Pursuant to Regulation A

4. Securities Regulation of Sales of Oil and Gas Interests

5. Section 3(a)(9): Recapitalizations

6. Section 3(a)(10): Officially Sanctioned Exchanges

7-12. [Reserved]

13. The Registered First Offering

14. Registration Process in a Nutshell

15. The Initial Underwritten Public Offering

16-18. [Reserved]

19. Preparing the Registration Statement

20. SEC Regulation of Financial Reporting in the Integrated Disclosure System

21. [Reserved]

22. The Process of Becoming "Effective"

23. Shelf Registration and Related Due Diligence Challenges

24. Blue Sky Registration

25. FINRA Rules for Public Offerings

26. Regulation M

27. Problems of Debt Offerings

28. Post-Effective Matters

29. Using Forms SB-1 and SB-2

30. Responsibilities for Registered Offerings

31-35. [Reserved]

36. Additional Public Offerings: Uses of Various Forms

37. Secondary Offerings

38. Rule 144

39. Rule 144A

40-46. [Reserved]

47. The Nasdaq Stock Market

48. Issues in Secondary Market Trading

49. Registration Under the Exchange Act

50. Annual Report to the Commission--Form 10-K

51. Preparation of Proxy Statements and Annual Reports to Shareholders

52. [Reserved]

53. Shareholder Initiatives

54. Conducting the Annual Meeting

55. Quarterly Reports on Form 10-Q or 10-QSB

56. Current Reports on Form 8-K

57-59. [Reserved]

60. Admission of Securities to Official Listing on Stock Exchanges Within the European Union and the Subsequent Disclosure Obligations

61-63. [Reserved]

64. Public Limited Partnerships

65. Preparing the Business Combination Registration Statement

66. Why, When and How to Conduct a Proxy Contest For Corporate Control

67. Going Private -- Rule 13e-3

68. State Law on Going Private: Developments in Delaware Law

69. Repurchases of Shares--State of State Law

70. Williams Act - An Overview

71. Williams Act - Beneficial Ownership Disclosure

72. Williams Act - Tender Offer Regulation

73. Leveraged Buyouts

74-79. [Reserved]

80. Insider Trading Under Section 10(b) of the Securities Exchange Act

81. Insider Trading Under Section 16 of the Securities Exchange Act

82. Complying with the Foreign Corrupt Practices Act

83. Investment Company Act Of 1940

84. The Investment Advisers Act of 1940

85. Self-Regulatory Organization Proceedings

86. Arbitration

87. SEC Proceedings - An Overview

88. Securities Enforcement Investigations

88A. The SEC Standards of Professional Conduct For Attorneys

89. The SEC Administrative Hearing

90. SEC Injunctive Proceedings

91. Litigation - An Overview

92. Class Actions

93. Blue Sky Litigation

94-106. [Reserved]

107. The Uses and Functions of Experts in Securities Litigation

108. Practice Before the Judicial Panel on Multidistrict Litigation

109. The Attorney-Client Privilege and the Work-Product Doctrine

110. Collateral Estoppel

111-118. [Reserved]

119. Internal Corporate Investigations

120. Bankruptcy Trustee and Examiner Investigations

121. Indemnification and Securities Litigation

122. Directors' and Officers' and Related Forms of Liability Insurance