SEC Compliance and Enforcement Answer Book 2015


Book Description

SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.







Model Rules of Professional Conduct


Book Description

The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.




Welcome to the SEC's Public Reference Room


Book Description




EDGAR Filer Handbook


Book Description

Due to renovations to EDGAR, the new fifth edition of EDGAR Filer Handbook is more essential than ever. All procedures to assemble, validate and transmit filings to EDGAR are entirely new as the DOS-based EDGARLink is replaced by the new EDGAR Filing web site. Prepared by experts with an intimate working knowledge of the EDGARLink system, the Handbook helps you stay current with the latest SEC electronic reporting procedures. It explains step-by-step how to prepare and submit documents for electronic filing precisely and efficiently. Updated to incorporate all the new and revised procedures through EDGAR and EDGARLink Release 7.0.f, you get hands-on assistance to help you make sense of new EDGARLink screen-display formats used to locate files; follow new procedures for assembly of modules and segments when mating a submission file; file financial data schedules according to new year-to-year reporting requirements; understand enhancements to the dialing script used when accessing EDGAR through EDGARLink; and much more. More than 120 sample screens illustrate EDGARLInk documents, formats, tags, and messages, and easy-to-follow tables identify mandatory and optional tags used with each document.







Securities Filings ...


Book Description







Master the 10-K and 10-Q


Book Description

Your guide to preparing and filing the SEC's annual Form 10-K and quarterly Form 10-Q, as required by the Exchange Act of 1934.