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Section 16 of The Securities Exchange Act, 2018 ed. (Securities Law Handbook Series)

Product details:

Format: Book - softbound
Brand: Clark Boardman Callaghan
Copyright: 2018
Service #: 16622852
Sub #: 16622851
Pages: 1440
Shelf Space: 2 in.
Publication frequency: Updated annually
Update method: Replacement pamphlets

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Section 16 of The Securities Exchange Act, 2018 ed. (Securities Law Handbook Series)

105207868

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105207868
105207868
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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

  • Describes rules under §16(a) concerning monthly reporting requirements for certain insiders
  • Details on matching trading in one security against trading in another
  • Provides defenses to §16(b) liability
  • Explains §16(c): prohibition of short sales and sales against the box by insiders
  • Includes §16(e): exemption of certain arbitrage transactions, Forms 3, 4, and 6
  • Covers §16(d): exemption for market-making activity
  • Discusses trading by 10-percent owners, directors, and officers