SECURITIES AND OTHER FINANCIAL PRODUCTS
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 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. 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. 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.
1 softbound volume or digital, 412 pages, $217, Item #395393, ISBN 978-1-4024-4555-2
SECURITIES INVESTIGATIONS INTERNAL, CIVIL AND CRIMINAL
Mayer Brown LLP Edited by Steven Wolowitz , Richard M. Rosenfeld , and Lee H. Rubin
This work explores the practical strategies and legal knowledge necessary for attorneys and stakeholders to successfully manage and troubleshoot securities investigations. The book’s authors share their inside strategies for responding to and managing internal, civil, and criminal investigations requested by state attorneys general and agencies such as the SEC, CFTC, FINRA, DOJ, and CME. Lawyers, business leaders, and anyone who addresses SEC investigations will find actionable tactics addressing internal and grand jury investigations, compliance programs, the protection of a client’s interests, grand jury testimonies, whistleblower protections, and privacy concerns. Violating new regulations can invite increased SEC oversight. PLI’s Upkeep Service can help readers address these developments. 1 looseleaf volume, 1,032 pages, $515, Item #29910, ISBN 978-1-4024-1445-9, Updated annually or as needed
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