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Section 16 of The Securities Exchange Act, 2017 ed. (Securities Law Handbook Series)

Product details:

Format: Book - softbound
Brand: Clark Boardman Callaghan
Copyright: 2017
Service #: 16622852
Sub #: 16622851
Pages: 1438
Shelf Space: 2 in.
Publication frequency: Annually
Update method: Replacement pamphlets

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Section 16 of The Securities Exchange Act, 2017 ed. (Securities Law Handbook Series)

104526144

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104526144
104526144
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This title helps you ensure compliance with the reporting provisions of the Securities Exchange Act. The author, an experienced practitioner, provides guidance on all five subdivisions of Section 16 of the Act. Specific coverage of trading by ten percent owners, directors and officers matching trading in one security against trading in another, rules under 16(a) concerning monthly reporting requirements for certain insiders, defenses to 16(b) liability, 16(c)'s prohibition of short sales and sales against the box by insiders, 16(d)'s exemption for market making activity, and 16(e)'s exemption of certain arbitrage transactions, Forms 3, 4 and 5.

Features

  • Details on matching trading in one security against trading in another
  • Describes rules under §16(a) concerning monthly reporting requirements for certain insiders
  • Provides defenses to §16(b) liability
  • Describes rules under §16(a) concerning monthly reporting requirements for certain insiders
  • Provides defenses to §16(b) liability
  • Includes §16(e): exemption of certain arbitrage transactions, Forms 3, 4, and 6
  • Includes §16(e): exemption of certain arbitrage transactions, Forms 3, 4, and 6
  • Details on matching trading in one security against trading in another