transcript   Transcript

Reporting Under the Exchange Act

Recorded on: Jul. 18, 2017
Running Time: 01:00:13

Full Transcript:

If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the Web Program Understanding the Securities Laws 2017 recorded July, 2017 in New York.

Reporting Under the Exchange Act [01:00:13]
  • Triggers for Exchange Act reporting obligations
  • Forms 8-K, 10-Q and 10-K
  • Reporting requirements of third parties, including Schedule 13Ds and 13Gs
  • “Duty to disclose”
  • Dealing with securities analysts and the press- complying with Regulations FD and G

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Periodic and Other Reporting Obligations Under the Securities Exchange Act of 1934 (April 2017)
    Alice G. Givens, Richard F. Langan, Raymond Y. Lin
  • Sidley Austin LLP, Practice Note, Not-So-Current Reports: What Form S-3 Companies Need to Know About Late Form 8-K Filings (August 24, 2016)
    Gary D. Gerstman

Presentation Material

  • The Integrated Disclosure System, Registration and Periodic Reports under the Securities Exchange Act of 1934
    Alice G. Givens, Richard F. Langan, Jr.
Alice G Givens ~ Vice President-General Counsel, Chief Compliance Officer and Corporate Secretary, Ruth's Hospitality Group, Inc.
Richard F Langan, Jr. ~ Nixon Peabody LLP
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.

  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

  • Can I get CLE credit for reading the transcript?
    No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.

  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.