Chapter 17: Obligations of a Company and Its Principals Under the Securities Exchange Act of 1934
§ 17.1  Consequences of Being Publicly Owned
§ 17.2  New Obligations on Completion of Initial Public Offering
§ 17.2.1  Duty to Disclose Material Information
§ 17.2.2  Amending the Prospectus
§ 17.2.3  Continuing Obligations
§ 17.2.4  What Is Material?
§ 17.2.5  When Should Disclosure Be Made?
§ 17.2.6  How Much Should Be Disclosed?
§ 17.2.7  To Whom Should Disclosure Be Made?
§ 17.2.8  Have Releases Ready
§ 17.2.9  Stock Exchange Notification
§ 17.2.10  Use of Media
§ 17.3  Reporting Requirements Under the 1934 Act
§ 17.3.1  Annual Report on Form 10-K
§ 17.3.2  Quarterly Report on Form 10-Q
§ 17.3.3  Timing for Filing Forms 10-K and 10-Q
§ 17.3.4  Current Report on Form 8-K
§ 17.4  Reports to Shareholders
§ 17.5  Proxy Rules
§ 17.5.1  General Discussion
Internet Posting of the Proxy Materials
Notice and Timing
Access to and Execution of Proxy Cards
State Law Considerations
§ 17.5.2  The Proxy Rules and Corporate Law
§ 17.5.3 Additional Requirements for a Contested Meeting
§ 17.5.4 Communication with Beneficial Owners and Voting
§ 17.5.5 Potential Liability Under the Proxy Rules
§ 17.6  Foreign Corrupt Practices Act
§ 17.7  Control Person Obligations
§ 17.7.1  Reports of Beneficial Ownership
§ 17.7.2  “Short Swing Profit” Liability
§ 17.7.3  Short Sale Prohibition
§ 17.7.4  Tender Offer Rules and Related Matters
§ 17.8  Securities Transfers
§ 17.9  Corporate Accountability and Governance Requirements
§ 17.10  Executive Compensation
§ 17.11  Selective Financial Disclosure—SEC Regulation FD
§ 17.12  Foreign Private Issuers Under the 1934 Act
§ 17.12.1  International Disclosure Standards
§ 17.12.2  Trading of Foreign Stocks in the United States
§ 17.12.3  Form 10—Full 1934 Act Registration
§ 17.12.4  Form 20-F—Foreign Private Issuers
§ 17.12.5  Loss of Foreign Private Issuer Status
§ 17.12.6  Foreign Private Issuer Deregistration
§ 17.12.7  Conclusion
§ 17.13 De-Registration