SECURITIES AND OTHER FINANCIAL PRODUCTS
SECURITIES AND OTHER FINANCIAL PRODUCTS
Gary M. Brown is the author of three PLI Press guides (see pages 8 and 9), of Securities Law and Practice Deskbook (see page 10), and of the chapter “Introduction to Life Settlements” in Financial Product Fundamentals and Variable Annuities and Other Insurance Investment Products. In more than 30 years of practice, Gary has advised a wide variety of public companies in the areas of corporate governance, securities, compliance, and M&A. He is a frequent speaker at PLI programs and an adjunct faculty member at the Vanderbilt Law School. PLI Press is proud to count Gary M. Brown as a subject-matter expert and content contributor.
Master the 10-K and 10-Q Gary M. Brown (Nelson Mullins Riley & Scarborough LLP)
Master the 10-K and 10-Q provides step-by-step instructions and detailed analysis of Form 10-K and Form 10-Q, highlighting areas in which your company can implement or refine its disclosure controls and procedures to ensure accurate and timely filings. Like its counterparts Master the 8-K and Master the Proxy Statement in PLI’s SEC Compliance and Disclosure series, this guide draws on the expertise of author Gary M. Brown to deliver clear explanations, detailed guidance, and essential practice tips. Coverage includes:
Master the 8-K Gary M. Brown (Nelson Mullins Riley & Scarborough LLP)
Master the 8-K is a clear, concise, and comprehensive guide to filing the SEC’s Current Report on Form 8-K that every securities lawyer or person who is responsible for a company’s periodic SEC reports will want to have close at hand. Like its counterparts Master the 10-K and 10-Q and Master the Proxy Statement in PLI’s SEC Compliance & Disclosure series, this step-by-step guide draws on the expertise of author Gary M. Brown to deliver clear explanations, detailed guidance, and essential practice tips.
Master the 8-K begins with an overview of the Form 8-K requirements and principles generally applicable to all Form 8-K Items, such as: • Filing procedures and deadlines • The impact of late filings, and the availability of the “safe harbor” for late-filed 8-Ks and related liability issues • The “furnished” versus “filed” distinction and the technical aspects of incorporation by reference and exhibits and much more. In this easy-to-use book, each Form 8-K Item is separately analyzed and begins with “highlights” that, at a glance, alert you to critical matters about that Item, such as whether the “safe harbor” applies, whether there are exhibit requirements, whether there are possible update requirements, and whether there are critical definitions to consider. Each section then provides step- by-step instructions and expert practice tips on matters such as: • Triggering events and disclosure requirements for each Form 8-K Item • Possible exceptions to the Form 8-K filing requirements • How to avoid certain filing “traps” • SEC Staff Guidance Stay current with SEC disclosure requirements with PLI’s Upkeep Service.
• Filing procedures, deadlines, and extensions, and the impact of late filings • Signature and certification requirements • The “furnished” versus “filed” distinction
• Technical aspects of incorporation by reference • Special rules for asset-backed issuers • Exhibit requirements
1 softbound volume or digital, 766 pages, $226, Item #447824, ISBN 978-1-4024-4995-6
This one-stop resource is enhanced with compliance practice pointers and more than a dozen appendices containing related forms, checklists, regulations, and SEC guidance. Stay current with SEC disclosure requirements with PLI’s Upkeep Service.
Master the 8-K includes sample disclosure language, and detailed appendices containing the Form 8-K itself, key regulations, and SEC compliance and disclosure interpretations (C&DIs) — everything you need to become an 8-K expert. 1 softbound volume or digital, 412 pages, $226, Item #447782, ISBN 978-1-4024-4555-2
Master the Proxy Statement Gary M. Brown (Nelson Mullins Riley & Scarborough LLP)
Master the Proxy Statement is an easy-to-use handbook on preparing proxy solicitation materials in compliance with the Securities Exchange Act of 1934, Regulation 14A, Schedule 14A, and all applicable federal securities laws and regulations. Like its counterparts Master the 8-K and Master the 10-K and 10-Q in PLI’s SEC Compliance and Disclosure Series, this step-by-step guide draws on the expertise of author Gary M. Brown to deliver clear explanations, detailed guidance, and essential practice tips. This title is a must-have guide for securities practitioners advising companies on year-end disclosures and for financial and other personnel who are responsible for preparing portions of a company’s proxy materials. Ever-changing rules and new transaction types can complicate the preparation of proxy solicitation materials. PLI’s Upkeep Service can help you strategize around important SEC and legislative developments.
1 softbound volume or digital, 998 pages, $226, Item #447825, ISBN 978-1-4024-4996-3
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