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Securities Sources for Equity Compensation
(Print Version)
Eighth Edition
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This book, prepared for the Certified Equity Professional Institute (CEPI) at Santa Clara University, is a collection of securities source materials relevant to the study of equity compensation. The CEPI offers a course of study leading to certification as a Certified Equity Professional. This book is intended for education and general reference and is neither an official publication nor a comprehensive legal reference. Notes on legislative and regulatory history are not included. Practitioners and corporate personnel should consult the latest versions of these sources (as available from government and other sites) when conducting business.
In the 2013 edition, Section 4 of the Securities Act of 1933 and Rules 501 and 502 under Regulation D have been replaced with the current versions as of the end of 2012. Section 5 of the Securities Act of 1933, Regulation 14A, and Regulation FD have been removed.
In the 2013 edition, Section 4 of the Securities Act of 1933 and Rules 501 and 502 under Regulation D have been replaced with the current versions as of the end of 2012. Section 5 of the Securities Act of 1933, Regulation 14A, and Regulation FD have been removed.
Publication Details
Format: Perfect-bound book, 220 pages
Edition: Eighth edition (February 2013)
Status: In stock
Contents
Preface
Statutes
Securities Act of 1933
Section 4-Exempted Transactions
Securities Exchange Act of 1934
Section 10-Regulation of the Use of Manipulative and Deceptive Devices
Section 16(a)-Directors, Officers, and Principal Stockholders
Section 16(b)-Profits from Purchase and Sale of Security Within Six Months
Regulations Under the Securities Act of 1933
Regulation D
Preliminary Notes
Rule 501-Definitions and Terms Used in Regulation D
Rule 502-General Conditions to Be Met
Rule 503-Filing of Notice of Sales
Rule 504-Exemption for Limited Offerings and Sales of Securities Not Exceeding $1,000,000
Rule 505-Exemption for Limited Offers and Sales of Securities Not Exceeding $5,000,000
Rule 506-Exemption for Limited Offers and Sales without Regard to Dollar Amount of Offering
Rule 507-Disqualifying Provision Relating to Exemptions Under Rule 504, Rule 505 and Rule 506
Rule 508-Insignificant Deviations from a Term, Condition or Requirement of Regulation D
Rule 144 -Persons Deemed Not to Be Engaged in a Distribution and Therefore Not Underwriters
Rule 428 -Documents Constituting a Section 10(a) Prospectus for Form S-8 Registration Statement; Requirements Relating to Offerings of Securities Registered on Form S-8
Rule 701 -Exemption for Offers and Sales of Securities Pursuant to Certain Compensatory Benefit Plans and Contracts Relating to Compensation
Rule 10b-5
Rule 10b5-1
Regulation 13D-G-Securities Ownership
Rule 13d-1. Filing of Schedules 13D and 13G
Rule 13d-2. Filing of Amendments to Schedule 13D or 13G
Rule 13d-3. Determination of Beneficial Owner
Rule 13d-4. Disclaimer of Beneficial Ownership
Rule 13d-5. Acquisition of Securities
Rule 13d-6. Exemption of Certain Acquisitions
Rule 13d-7. Dissemination
Schedule 13D
Schedule 13G
Rule 15c6-1 -Settlement Cycle
Rules 16a-1-16a8: Reports of Directors, Officers and Principal Shareholders
Rule 16a-1. Definition of Terms
Rule 16a-2. Persons and Transactions Subject to Section 16
Rule 16a-3. Reporting Transactions and Holdings
Rule 16a-4. Derivative Securities
Rule 16a-5. Odd-Lot Dealers
Rule 16a-6. Small Acquisitions
Rule 16a-7. Transactions Effected in Connection With a Distribution
Rule 16a-8. Trusts
Rule 16b-3. Transactions Between an Issuer and Its Officers or Directors
Items Under Regulation S-K
Item 201
Item 402
Item 405
Federal Reserve Regulations Under the Securities Exchange Act
Regulation T
SEC Forms and Instructions
Form 3 and instructions
Form 4 and instructions
Form 5 and instructions
New York Stock Exchange Listed Company Manual
303A.02. Independence Tests
303A.08. Shareholder Approval of Equity Compensation Plans
312.03. Shareholder Approval
402.06. Exchange Proxy Rules for Member Organizations (General)
402.07. Exchange Proxy Procedures for Member Organizations
402.08. Giving a Proxy to Vote Stock
Statutes
Securities Act of 1933
Section 4-Exempted Transactions
Securities Exchange Act of 1934
Section 10-Regulation of the Use of Manipulative and Deceptive Devices
Section 16(a)-Directors, Officers, and Principal Stockholders
Section 16(b)-Profits from Purchase and Sale of Security Within Six Months
Regulations Under the Securities Act of 1933
Regulation D
Preliminary Notes
Rule 501-Definitions and Terms Used in Regulation D
Rule 502-General Conditions to Be Met
Rule 503-Filing of Notice of Sales
Rule 504-Exemption for Limited Offerings and Sales of Securities Not Exceeding $1,000,000
Rule 505-Exemption for Limited Offers and Sales of Securities Not Exceeding $5,000,000
Rule 506-Exemption for Limited Offers and Sales without Regard to Dollar Amount of Offering
Rule 507-Disqualifying Provision Relating to Exemptions Under Rule 504, Rule 505 and Rule 506
Rule 508-Insignificant Deviations from a Term, Condition or Requirement of Regulation D
Rule 144 -Persons Deemed Not to Be Engaged in a Distribution and Therefore Not Underwriters
Rule 428 -Documents Constituting a Section 10(a) Prospectus for Form S-8 Registration Statement; Requirements Relating to Offerings of Securities Registered on Form S-8
Rule 701 -Exemption for Offers and Sales of Securities Pursuant to Certain Compensatory Benefit Plans and Contracts Relating to Compensation
Rule 10b-5
Rule 10b5-1
Regulation 13D-G-Securities Ownership
Rule 13d-1. Filing of Schedules 13D and 13G
Rule 13d-2. Filing of Amendments to Schedule 13D or 13G
Rule 13d-3. Determination of Beneficial Owner
Rule 13d-4. Disclaimer of Beneficial Ownership
Rule 13d-5. Acquisition of Securities
Rule 13d-6. Exemption of Certain Acquisitions
Rule 13d-7. Dissemination
Schedule 13D
Schedule 13G
Rule 15c6-1 -Settlement Cycle
Rules 16a-1-16a8: Reports of Directors, Officers and Principal Shareholders
Rule 16a-1. Definition of Terms
Rule 16a-2. Persons and Transactions Subject to Section 16
Rule 16a-3. Reporting Transactions and Holdings
Rule 16a-4. Derivative Securities
Rule 16a-5. Odd-Lot Dealers
Rule 16a-6. Small Acquisitions
Rule 16a-7. Transactions Effected in Connection With a Distribution
Rule 16a-8. Trusts
Rule 16b-3. Transactions Between an Issuer and Its Officers or Directors
Items Under Regulation S-K
Item 201
Item 402
Item 405
Federal Reserve Regulations Under the Securities Exchange Act
Regulation T
SEC Forms and Instructions
Form 3 and instructions
Form 4 and instructions
Form 5 and instructions
New York Stock Exchange Listed Company Manual
303A.02. Independence Tests
303A.08. Shareholder Approval of Equity Compensation Plans
312.03. Shareholder Approval
402.06. Exchange Proxy Rules for Member Organizations (General)
402.07. Exchange Proxy Procedures for Member Organizations
402.08. Giving a Proxy to Vote Stock
