Authors: Charles J. Johnson Jr., Joseph McLaughlin, Jr. Johnson
ISBN-13: 9780735563100, ISBN-10: 0735563101
Format: Ringbound
Publisher: Wolters Kluwer Law & Business
Date Published: September 2006
Edition: 4th Edition
In this reference for lawyers and corporate financial professionals, securities lawyers Johnson and McLaughlin examine transactions in which business corporations raise funds both in the US and international capital markets. They explain the legal environment in which capital market transactions take place, as well as the capital market transactions to which the environment is always trying to adapt. This third edition is updated to reflect recent changes that affect how public offerings and private placements are put together, with in-depth coverage of the impact of Sarbanes-Oxley on disclosure requirements, new standards for IPO allocations, the reduced role of analysts in security offerings, and the SEC proposed rules on asset- backed securities. Annotation ©2004 Book News, Inc., Portland, OR
Ch. 1 | Overview of the Securities Act of 1933 and the integrated disclosure system | 1 |
Ch. 2 | Syndicate procedures and underwriting documents | 65 |
Ch. 3 | Selected issues in the registration and distribution process | 121 |
Ch. 4 | Manipulative practices and market activities during distributions | 231 |
Ch. 5 | Liabilities and due diligence | 305 |
Ch. 6 | Rules of the self-regulatory organizations | 391 |
Ch. 7 | Private placements | 459 |
Ch. 8 | Shelf registration (Rule 415) | 561 |
Ch. 9 | International financings | 665 |
Ch. 10 | Commercial paper | 769 |
Ch. 11 | Innovative financing techniques | 825 |
Ch. 12 | Convertible, exchangeable and "linked" securities; warrants | 865 |
Ch. 13 | Transactions with securityholders : stock repurchases, debt restructurings and rights offerings | 911 |
Ch. 14 | Asset-backed securities | 987 |