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

Front Cover
Greenwood Publishing Group, 1994 - Business & Economics - 279 pages


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

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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.

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