Securities Law: A Guide to the 1933 and 1934 Acts
Original prepared by Thomas M. Federico, LL.M. (Taxation), J.D.
Updates prepared by Jon F. Elliott, J.D., M.P.P.

The Guide discusses the Sarbanes-Oxley Act, and how it impacts corporate directors’ responsibility in the disclosure of information. The Act’s provisions are significant to domestic and foreign public companies and their officers and directors, as well to securities analysts and accounting and legal professionals.

While the Guide focuses on the 1933 and 1934 Acts, it also includes and discusses the Private Securities Litigation Reform Act of 1995 and “Blue Sky” laws. Laws that apply to international securities transactions, such as offerings to U.S. investors by foreign issuers and public offerings by U.S. issuers to foreign investors, are also presented. Canadian transactions and the multijurisdictional disclosure system that facilitates the registration of Canadian securities for sale in the United States is emphasized.

The publication guides you through the complex maze of federal securities regulations and SEC rules, and updates reflect the changing provisions as the SEC adopts implementing or clarifying regulations.

This Guide helps eliminate the intimidation factor so often associated with federal securities laws. It provides practical and effective guidance for experienced securities lawyers, general practitioners, accountants, and investment advisers alike through manageable, thorough, step-by-step explanations written in plain English; important tips and cautions presented in visually distinctive Author’s Notes; and checklists, tables, and flow charts that organize information in easy-to-follow formats.

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