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K&L Gates編 米国証券法実務ガイド 2017年版

Securities Practice Guide, 2017 Edition

D. Mark McMillan, Lorraine Massaro, K&L GATES (General Editors)

1 vol. Paper., 2017年8月刊(年1回刊行) (LexisNexis Practice Guide)

Matthew Bender (LexisNexis), USA. ISBN: 9781522136958

特価 ¥32,485

在庫あり

米国証券取引実務の各局面へ適用される規則を明らかにし、戦略上のポイントや実務上の盲点、警告事項など、チェックリストなどをまじえつつ、実践的かつ平易に解説。

*連邦・州法規の枠組み *1933年法下における募集規則 *登録免除株式・取引 *IPO実務 *公募増資 *交換募集 *その他の募集(PIPEs, SPAC等)*1934年法下の報告義務 *委任状合戦 *株式公開買付/非公開化 *インサイダー、株主規制 *民事責任、等

【Table of Contents】

1. Overview of Federal and State Securities Legislation

Part I: OVERVIEW

1.01 Introduction -What are the Federal Securities Laws?

Part II: ANALYSIS

1.02 Relationship with Other Laws

1.03 What is the Role of the Securities and Exchange Commission?

1.04 What is the Interplay of Federal Law and State "Blue Sky" Laws?

Part III: PRACTICE RESOURCES

1.05 LexisNexis Securities Area of Law Page

1.06 Treatises and Analysis

1.07 Statutes

1.08 Other Sources

2. Overview of Securities Offering Regulation under the Securities Act of 1933

Part I: OVERVIEW

2.01 Introduction

Part II: ANALYSIS

2.02 Determining When 1933 Act Registration is Required

2.03 Threshold issue: Determining What Constitutes a "Security"

2.04 Determining What Constitutes a "Sale" Or an "Offer to Sell" a Security

2.05 Determining Who are the "Issuers" and "Control Persons" in an Offer of Securities

2.06 Determining Who Would be Deemed an "Underwriter" in an Offer of Securities

2.07 Defining "Prospectus" and Determining When an Offer of Securities Must Be Accompanied by a Prospectus

Part III: PRACTICE RESOURCES

2.08 LexisNexis Securities Area of Law Page

2.09 Treatises and other Analytical Materials

2.10 Statutes

2.11 Cases

3. Exemptions from 1933 Act Registration-Exempt Securities and Exempt Transactions

Part I: OVERVIEW

3.01 Introduction

Part II: ANALYSIS

3.02 Determining If a Type of "SECURITY" Offered to Investors Is Exempt from Registration Under Section 5 of the Securities Act

3.03 Determining if a "TRANSACTION IN SECURITIES" is Exempt from Registration Under Section 5

3.04 How to Effect Resales of Restricted Securities Outside of Registration

3.05 Selling Securities Offshore Under Regulation S without Securities Act Registration

3.06 Other Regulatory Exemptions

3.07 Conducting a "PRIVATE OFFERING"

3.08 Liabilities For Non-Compliance with an Exemption

Part III: PRACTICE RESOURCES

3.09 LexisNexis Securities Area of Law Page

3.10 Treatises and other Analytical Materials

3.11 Statutes

3.12 Cases and SEC Releases

4. Becoming a Public Reporting Company through the Initial Offering Process (IPO)

Part I: OVERVIEW

4.01 Introduction

Part II: ANALYSIS

4.02 What are the Advantages and Disadvantages of Becoming a Public Reporting Company?

4.03 Doing your Corporate Housekeeping Before your IPO

4.04 Working with Underwriters and Underwriting Documentation

4.05 Drafting and Filing the Registration Statement

4.06 Limiting Communications During the Offering Process

4.07 Independent Auditors and the Issuer’s Financial Statements

4.08 Conducting the Offering

4.09 Listing an IPO on a Securities Trading Exchange

Part III: PRACTICE RESOURCES

4.10 Practice Resources

5. Public Offerings by Public Companies

Part I: OVERVIEW

5.01 Introduction

Part II: ANALYSIS

5.02 Choosing the Right Registration Form - Form S-1, S-3

5.03 Setting up an Offering on a Delayed Basis through Shelf Registration

5.04 Preparing the Registration Statement

5.05 Performing Due Diligence

5.06 Abbreviated Registration Process for "Well-Known Seasoned Issuers" (WKSIs)

5.07 What are the Differing Requirements for Foreign Private Issuers?

Part III: PRACTICE RESOURCES

5.08 LexisNexis Securities Area of Law Page

5.09 Treatises and other Analytical Materials

5.10 Cases

6. Exchange Offers

Part I: OVERVIEW

6.01 Introduction

Part II: ANALYSIS

6.02 High Yield Debt Securities and the A/B Exchange Offer Process

6.03 When is an A/B Exchange Offer and Available Option?

6.04 Conducting an A/B Exchange Offer Using Form S-4

6.05 Conducting an A/B Exchange Offer

Part III: PRACTICE RESOURCES

6.06 LexisNexis Securities Area of Law Page

6.07 Treatises and Analytical Materials

6.08 SEC No-Action Letters

7. Specialized Offerings

Part I: OVERVIEW

7.01 Introduction

Part II: ANALYSIS

7.02 Navigating Regulation AB

7.03 Conducting A PIPE Offering

7.04 Conducting A SPAC Offering

7.05 Business Development Companies

Part III: PRACTICE RESOURCES

7.06 LexisNexis Securities Area of Law Page

7.07 Treatises / Journals / Law Reviews

7.08 Statutes

7.09 SEC Materials

7.10 Other Materials

8. Reporting Requirements for Publicly Held Companies under the Securities Exchange Act of 1934

Part I: OVERVIEW

8.01 Introduction

Part II: ANALYSIS

8.02 The Section 12 Registration Requirements

8.03 Ongoing Reporting Requirements - Periodic Reports

8.04 Ongoing Reporting Requirements - Current reports on Form 8-K

8.05 Regulation FD - "Fair Disclosure"

Part III: PRACTICE RESOURCES

8.06 Treatises, Forms and other Analytical Materials

8.07 Statutes

APPENDIX 8-A

9. Navigating the Proxy Rules

Part I: OVERVIEW

9.01 Introduction

Part II: ANALYSIS

9.02 What are the Proxy Rules?

9.03 Preparing the Annual Meeting Proxy Statement

9.04 Dealing with Shareholder Proposals

9.05 Conducting the Annual Meeting

9.06 Navigating Proxy Contests

Part III: PRACTICE RESOURCES

9.07 LexisNexis Securities Area of Law Page

9.08 Treatises

9.09 Statutes and Other Guidance

10. Tender Offers

Part I: OVERVIEW

10.01 Introduction

Part II: ANALYSIS

10.02 Determining What constitutes a Third-Party Tender Offer

10.03 Acquisitions of a Company

10.04 Issuer Tender Offers

10.05 Going Private Transactions

Part III: PRACTICE RESOURCES

10.06 LexisNexis Securities Area of Law Page

10.07 Treatises and Analytical Materials

10.08 Primary Source (Rules, SEC Releases and SEC Forms)

11. Disclosure Requirements for, and Trading Restrictions on, Insiders and Significant Shareholders of Public Companies

Part I: OVERVIEW

11.01 Introduction

Part II: ANALYSIS

11.02 Section 16

11.03 Reporting Pursuant to Section 13

Part III: PRACTICE RESOURCES

11.04 LexisNexis Securities Area of Law Page

11.05 Treatises and Analytical Materials

11.06 Statutes

12. Civil Liabilities

Part I: OVERVIEW

12.01 Introduction

Part II: ANALYSIS

12.02 elements of a Rule 10b-5 Claim

12.03 Other Private Causes of Action

12.04 Secondary Liability - Controlling Persons

12.05 Contribution and Proportionate Liability

12.06 Statutes of Limitation

12.07 Pleading Requirements

12.08 Class Actions

Part III: PRACTICE RESOURCES

12.09 LexisNexis Securities Area of Law Page

12.10 Treatises and Analytical Materials

12.11 Other Resources

12.12 Statutes

Index