transcript   Transcript

Reporting Under the Exchange Act

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

Full Transcript:



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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.
(s)
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
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