Regulation of Securities: SEC Compliance and Practice, 2003 Edition [Hardcover]

Steven Mark Levy (Author)

Product Details

• Hardcover: 736 pages
• Publisher: Aspen Law & Business Publishers; 2 Sup edition (November 2002)
• Language: English
• ISBN-10: 0735530521
• ISBN-13: 978-0735530522
• Product Dimensions: 10.5 x 7.3 x 1.9 inches
• Shipping Weight: 3.6 pounds
• Average Customer Review: 5.0 out of 5 stars  See all reviews (4 customer reviews)
• Amazon Best Sellers Rank: #8,106,056 in Books (See Top 100 in Books)

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Customer Reviews

Most Helpful Customer Reviews

10 of 10 people found the following review helpful:

5.0 out of 5 stars Useful addition for the corporate governance library, January 10, 2003

By 

R. Krueger (Miami, Florida USA) - See all my reviews

This review is from: Regulation of Securities: SEC Compliance and Practice, 2003 Edition (Hardcover)

Regulation of Securities: SEC Compliance and Practice is a useful handbook on securities compliance for public companies. The Second Edition adds a new chapter on going private transactions, and seems to expand and update the previous material fairly extensively.

The book is not an academic treatise. There are no lengthy footnotes, and no theoretical discussions about what the securities laws might be or should be. Rather, the book answers real-world questions in a straightforward manner, gives contextual background, provides illustrative examples, and points you to the most relevant primary sources if further information is required.

There are 12 chapters:

1. Introduction to securities regulation (including a section on EDGAR)

2. Periodic reporting under Sections 13(a) and 15(d)

3. Reporting of beneficial ownership under Sections 13(d) and 13(g)

4. Insider reporting under Section 16(a)

5. Short-swing trading and exemptions under Section 16(b)

6. Tender offer disclosure requirements

7. Proxy solicitations under Section 14(a)

8. Securities fraud under Rule 10b-5

9. Use of electronic media

10. Selling restricted and control securities under Rule 144

11. Private resales to institutional investors under Rule 144A

12. Going private transactions under Rule 13e-3.

This is a good book to consider for any corporate governance library.

9 of 9 people found the following review helpful:

5.0 out of 5 stars Authoritative, Well-Written Guide, May 13, 2002

By 

james bryant (Irvine, California USA) - See all my reviews

This review is from: Regulation of Securities: SEC Compliance and Practice (Hardcover)

I would give this book high marks as a thorough but very readable guide to complying with SEC rules and regulations on a day-to-day basis for public corporations, corporate insiders and their counsel.
I actually like the question and answer format, which makes it fairly easy to find the exact information you are looking for. The index and tables are also well done. The other nice feature is that the book not only gives the rules and how to comply with them (for example, periodic reporting, Rule 144, short-swing profits, insider trading, etc.) but also the rationale behind the rules and historical background.
Overall, a good investment and a five-star rating.

5 of 5 people found the following review helpful:

5.0 out of 5 stars Recomended, July 15, 2004

By A Customer

This review is from: Regulation of Securities: SEC Compliance and Practice, 2003 Edition (Hardcover)

This recomended book has been thoroughly revised and updated to reflect the Sarbanes-Oxley Act and other developments, and is now in three-ring binder format to accomodate future annual supplements. The revised book is titled "Regulation of Securities: SEC Answer Book, Third Edition," published by Aspen Publishers.