Corporate Finance and the Securities Laws

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Aspen Publishers, Jan 1, 2006 - Business & Economics
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Corporate Finance and the Securities Laws has been winning over
practitioners with its clear "how to do it" approach ever since its
publication in 1990. This acclaimed guide is now completely updated in this
Fourth Edition to help you meet the challenges of raising capital in
today's increasingly regulated marketplace.
Written in plain English by two top experts in the field - each with literally
hundreds of successful deals under his belt, Corporate Finance and the
Securities Laws is the "go to" resource which explains the mechanics
of corporate finance together with the statutes that govern each type of deal.
You'll receive expert corporate finance analysis, procedural guidance, and
practical securities law pointers every step of the way to help you
Structure all types of corporate finance deals - from public, private, and
offshore offerings to corporate debt restructurings, commercial paper
programs, raising capital, and asset-based securities transactions
Root out problems before corporate finance deals are put in motion, with
heads-up input on securities law prohibited practices, potential liabilities,
conflicts of interest, due diligence concerns, and other red-flag issues
Shepherd transactions through the corporate finance regulatory process with a
clear understanding of applicable statutes and their implications in real-life
situations
Know what to do when securities law problems crop up - and find clear answers
to the countless questions that develop in the course of a corporate finance
deal
Close deals, raising capital in a timely manner and work shoulder to shoulder
with clients to accomplish your corporate finance objectives
  

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Contents

CHAPTER
1-1
13
1-13
121
1-21
125
1-25
131
1-31
136
1-35
CHAPTER 2
2-1
CHAPTER 5
2-5
CHAPTER 6
6-1
CHAPTER 7
7-1
A Rule 144A Private Placement 757
7-57
Sections 3c1 and 3c7 7109
7-109
8 02
7-115
CHAPTER 8
8-3
Placed Securities
8-9
CHAPTER 9
9-1

225
2-25
231
2-31
237
2-37
245
2-45
252
2-52
3 03
3-2
310
3-10
CHAPTER 11
3-11
04
3-124
CHAPTER 4
4-1
4 04
4-2
Persons 546 1
4-5
NonConvertible and 1 Million ADTV150 Million
4-34
LIABILITIES AND DUE DILIGENCE 5 01 Sources of Liability A Section 11 1 Standing 2 Effective Date 3 State Court Claims 4 Defenses a Absenc...
4-87
512
5-12
518
5-18
534
5-34
5 Communications That May Be Offers
9-5
972
9-72
978
9-78
9102
9-106
CHAPTER 10
10-3
Receivable 1020 2
10-24
INNOVATIVE FINANCING TECHNIQUES 111
11-1
Rule 134 146
12-1
CHAPTER 13
13-1
3 Obtaining the Rule 12g32b Exemption Old
13-3
CHAPTER 14
14-1
2 PostOffering Delivery Requirements
14-2
CHAPTER 15
15-1
E Certain Catastrophe Bond Disclosure Considerations 157
15-7
Issuers 969
I-69
10 Transactions in Rule 144A Securities 443
I-99
Copyright

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About the author (2006)

Dr. Charles J. Johnson's quest for adventure has taken him to 65 countries and the world's most exotic places. "Reunion Promise" is a fusion of fiction with his global travel, experiences in African diamonds, and his coming-of-age romance among the vineyards of Northern California. He has lived in Australia, Botswana (Africa), California, Hawaii, Maryland, and Virginia.

Joseph McLaughlin is a professor of sociology and urban studies at Saint Peter's College. He served as director of the graduate program in education from 1992 until 1998 and was a member of the education department for 20 years. Both McLaughlin (class of 1977) and his father (class of 1943) are graduates of Saint Peter's. Thomas Matteo is an associate professor of business administration. Prior to his appointment to Saint Peter's College, he served in a number of senior executive corporate positions, including corporate executive officer and president. In addition to his duties at Saint Peter's, he also serves as the public historian for Staten Island, New York.

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