We are pleased to provide you with our annual updated editions of the SEC Reporting Rules for Forms 10-K, 10-Q, 8-K, SD and SEC Reporting Rules for Proxy Statements. These publications are excellent reference source for legal and accounting professionals and corporate executives.
In addition to outlining the applicable laws, regulations and rules, these guidebooks seek to provide practical guidance reflecting, among other things, interpretive guidance issued by the Securities and Exchange Commission, general industry practice and the authors’ experience. In addition, we eliminate many cumbersome citations and provide “plain English” rule references.
- 680 pages
- Up-to-date for 2015 including in-depth information on Form SD
- Detailed table-of-contents for quick reference
NEW: Form N-1A Rules and Regulations guide - The SEC amended Form N-1A—the registration form used by mutual funds—and Rule 498 under the Securities Act of 1933 to provide investors with more straightforward and accessible information when making investment decisions. This is a helpful guide to the Form N-1A rules and regulations
NEW: 2015 SEC Filings Calendar – ONE SHEET
Proxy Materials Logistics 101: a primer for small and micro-cap companies
Six essential “jargon” to learn for buying annual report printing ~ ONE SHEET
No one expects Investor Relations Officers or Corporate Secretaries to be experts at purchasing commercial printing. That said, it’s safe to have a general understanding for the process – to assure your expectations are met.
Download this PDF for the six key variables that Investor Relations Officers and Corporate Secretaries will be asked to make decisions around that will impact the production and price of an annual report.
“Shopping” checklist for switching to an XBRL SaaS: Complete portal solution v. software only ~ ONE SHEET
Please use the click here link on the download page below. Use the form to request an online demonstration.
How Investors Consume Investors Relations Content ~ WHITEPAPER
Investor relations departments, IR firms and service providers expel a lot of energy and budget on shareholder communications. How is this investor content consumed by investors? That is the genesis of the Shareholder Confidence 365 Study.
The SEC’s recent action of rolling social media networks into the 2008 RegFD guidance has rekindled social media’s place within shareholder communications. Assumingly, the conversations investor relations and corporate counsel are having are the “if” and “what” and “when” of social media.
This paper offers a tactical “how” for social media newsflow. We’ll also briefly explain the difference between Twitter and StockTwits in context to news distribution.
Preparing an S-1 file for the SEC is a stressful and time consuming chore for a corporation and its team of advisors. To help our corporate clients and as a helpful tool for our law firm partners, we’ve created this brief workflow guide that illustrates the “back-and-forth” interactions an IPO will have with the SEC.
NYSE Governace Boardrrom Summit ~HANDBOOK
By formal arrangement as financial printing partner, we are able to offer you this book.
You’ll find it useful in understanding what Boards are focusing on for 2015 – from the lessons of 2014. Topics include activism, proxy firms, compensation and more.demonstration.
Public companies are subject to an extensive and complex regulatory regime under the U.S. federal securities laws and stock exchange listing rules. This handbook provides an overview of the securities law and stock exchange reporting, disclosure and corporate governance requirements applicable to public companies and their officers, directors and large shareholders.
In addition to outlining the applicable laws, regulations and rules, this handbook seeks to provide practical guidance reflecting, among other things, interpretive guidance issued by the Securities and Exchange Commission, general industry practice and the authors’ experience.
- 150 pages
- Up-to-date including in-depth information on Dodd-Frank, JOBS and social media
- Detailed table-of-contents for quick reference
- Comprehensive in-house sessions
- Multiple conference rooms
- Understanding market requirements and the groundwork for an IPO
- Is it the right time for you to start the IPO route?The Form S-1 Registration process – timeline and life cycle
- The Jobs Act and IPOs
- Exchange listing discussions
- Shareholder communications / Investor relations
- Reverse mergers as an exit strategy to gain liquidity.
- Questions to be asked whether a reverse merger is right for their company and how to proceed if it might be something worth pursuing
- A detailed look at the financial and legal sides of doing a reverse merger and what it means for investors, management and employees
- Case studies of firms that have had success with doing a reverse mergers and important lessons learned
- What are the advantages and disadvantages of structuring an acquisition as a reverse merger?
- What risks are associated with mergers and what should counsel consider when structuring the acquisition?
- How do you communicate with stakeholders?