The Legal Considerations in Business Financing: A Guide for Corporate Management

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Greenwood Publishing Group, 1994 - Business & Economics - 279 pages
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This comprehensive guide to all the essential legal and business considerations in financing the business activities of the modern corporation. Readers are provided with a clear and concise introduction to the legal and contractual framework that governs the major capital raising transactions in which a firm might be involved, with a particular emphasis upon the federal and state securities laws. An indispensable resource for consummating any private investment transaction, public offering, or commerical loan transaction, as well as dealing with disclosure requirements, the structuring of underwriting arrangements, and complying with public company responsibilities. Intended for entrepreneurs and managers at firms of all sizes.

 

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Contents

General Considerations in Business Financing
1
Corporate Financial Instruments
19
Regulatory Framework for Securities Transactions
39
Disclosure under the Securities Laws
67
NonRegistered Primary Transactions
93
Venture Capital Financing
125
Registered Primary Offerings
155
Underwriting and Distribution Arrangements
187
Secondary Trading and Public Company Status
213
Private and Commercial Lending and Government Debt Financing
229
Liabilities and Remedies in Securities Transactions
251
Selected Bibliography
273
Index
275
Copyright

Common terms and phrases

action activities addition agreement amount applicable appropriate assets associated banks borrower capital Chapter common stock compensation convertible corporation counsel debt determine directors disclosure discussion distribution dividends documents effect employees equity Exchange Act executive exemption existing federal filing financing firm Form funds future given holders insure interest investment investors involved issued issuer lender liability limited loan material matters ment NASDAQ obligations offering officers operations option paid participation particular parties payment percent period permitted person preferred stock prepared principal prior prospectus public offering purchase reasonable receive regarding registration statement Regulation relating reporting requirements respect restrictions risk Rule Securities Act securities laws selling shareholders shares specified tion trading transaction underwriting usually various violation voting warranties

About the author (1994)

ALAN S. GUTTERMAN provides legal and business counseling to entrepreneurs, firms, and investors in the areas of general business and commerical law, securities law and business finance, technology law, and international law. He is active in a variety of international, national, and state bar and professional activities, and has published articles and monographs on intellectual property law, business finance, international law, technology transfer, and economic development. In addition to his J.D. degree, Mr. Gutterman has earned and M.B.A. in finance and is currently conducting research in pursuit of doctoral degrees in international business and economics.

Bibliographic information

QR code for The Legal Considerations in Business Financing
TitleThe Legal Considerations in Business Financing: A Guide for Corporate Management
AuthorAlan S. Gutterman
Editionillustrated
PublisherGreenwood Publishing Group, 1994
ISBN089930799X, 9780899307992
Length279 pages
Subjects › 

Business & Economics / Management
  
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