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Securities law research using Intelliconnect

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Intelliconnect slideshare

  1. 1. Sgycniflfoflsg; Dxu-er. 'm; _?1 -tsur, 5a. e:I5e: r<~es = m:r<e: r=2 Fr-: -IEra‘: r.s v-Ia; Lag‘: "ll ". ‘.‘clte'5 <1.. .-.2.’ aifzorrtrr ' ’ Ge Q0 anmaeuseam ; rune gr. -mu: fiR2sa! rlIF1‘las grrxcenau foam: gzoruztsouuaua : lFanu ' ' »: ,ntsr. -an Browse (let . :r ’ the A-. ‘. , - Ily Favorites ° E: r:- Jarnao-: s j roatewfl ll| CorIIen1 513:1’ areas 9 _ _ g ' , Ta) seas . >s. '*.3-sar~: JVar. senr lmelllconnect Is a area! + I Face’: -5! resource for your securities law research. The homepage will Itely default to the ‘Tree View’ (as shown). However, click the _ ‘Library View’ for a more user- V CCH lax Briefings at legislation friemly interface. on cm‘ Irltdllormerx Bruiser seam- at-n2orwosr+iIIr-gm: -lunar: aamfrucnndumm mm mm '5 v Support it Tram" lhllinillvelataz nusionufco-ilflzh ‘ax 3'00; : YaxOIalft0t| 'IUleHil a an: Esme Pamng w; J D: -?a: ~:r : The SII. ll Minds RESEARCH TRAN SFORMED. ‘Now when my sta‘i do-as tart reserch, may google CC: -I I" (CH lntellilionnect Browser Seam 0
  2. 2. ;. .,rMy. .,, ,,, 7 . , -. u . , = ... .- : >~| r1ln- II. Iiv J-lIi. '.»; :4 m-wrrl 7- .7-; :T l Raw: an 7m: n| -‘. ~ ‘I: v‘~e- ‘ten ‘ans E-var‘ : nms r. ..: .. N». (:0 In Stun-at 14.7» in : ~: -y. .. H. Izzraryvbu urn’ -'I, 'I“rr‘| :, A ' : 1 4- 5: , ’ 1 r, - ~ . .4 , ,, ,_ 1 W from tho ’l. Iluary"vIow, you'II no a variety ol practice areas. I T. ‘ I 1‘ lnclurllng ‘securities (ForleraI)' H I “ml 1” and ‘sewrttloslsutor . ‘L*: I-: .r ; .a. I. I.I. -»r. cI. r V I Mw; J : l-l 2 w - H» Imt-; «I - -. ~«»«. ~: ’ »' e. ,., —. 1 , .a= e: : I 1". ~ Me: I Flnanelal and Estate Planning '17 wan p-sm 1-»: -- ' »-cv . .,r n .4 . a xx: -n xr. ~.—~ . .r N-y'V3 WEI-Hr?
  3. 3. Searclilflrowse: DucurtieritTray[L! ] History Sevedsezlicties Fiactii T Wolters Kluwer "»- all content l llcol Home Browse 31 3] Browse fi Research Folders | §]ciiaiions © Tracker News ,9 crime: {§}TaolslSmurt cirans Forms 0-AIRS FAQs Browse Clear Aii][fll[§-lirries zl l ‘ My Favorites Tax News. Journals and Newsletters Federal Tax State Tax Irilerriatiorial Tax Accounting and Audit Advertising Law Antilrust & Trade Regulation Barlklrlg (Federal) Banking (State) Banking Compliance Llbraw Bankruptty Law Liinrary Commercial Comrnod ties Er Derivatives Consumer Financial Services Corporate Governance Energy ti Natural Resources European Union Financial Services Exchanges & SROs Financial and Estate Planning Franchising Rx Distnbut on Fringe Benefits . ... ... ... .. .. ... ... ,. Government Contracts i-ie-aim Care Compliance and Reimbursement insurance Coverage l. ligation intellectual Property international Securities Xi Business investment Management Labor and Emuloymeni Law Labor and Employment Law (State) Llllgatiun Mergers 5 Acquisitions Payroll Pnvacy Law Products Liability & Safety Secured Transactions Securities [Federal] Securities (State) Transportation Law UK Financial Services US Financial Services Tools/ Smart Charts :1 e El Secun s (Federal) ' Maxetns my starting imrar/ , It you select "securities (FederaI), " a drop-down of D 4 News 8. current Awareness ’ 795007965 ill ‘hat 3'93 Wi" aPPea"- § [:1 ¢ 3 Comoliance 360 1: ; <> 5 Dodo-Frank News Center F <> El Federal securities Law Reporter - Report Letters [1 <> i capital Markets Handbook — Burch and Foerster DO D<> l’l <> 5] International securities and Financial Reporting Update 3 Financial Services News ; Hedge Funds and Private Equity Risk Management and Regulatory Uodate “News 8- current Awareness‘ oflers resources related to current developments in the securities field. Q 0 SEC Tracker Daily Q 0 3 White Papers and Me U0’ El <> i European Securities Regulation ~ Warren El <> Ii Federal SecLir' es Law Reporter Dood—Franl< Wall Street Reform and Consumer Protection Act Law, Explanation and Analysis (July 2010) The "Federal securi s Law Reporter" one of the most comprehensive resources in D <> i Federal Securities Law Reponer - Transfer Binders (1993 - 2001) D <> i Federal Securities Cases Archive - Selected cases (1941 - 1993) D <> i Federal Securities Laws and Regulations D<>‘ International SGCUTIIISS LBW HSHGDOOK - SOU| l&l' 8: BCSC El <> Ii San>anes—oxIey Act ot 2002‘ Law & Explanation (July 2002) securities law. You can also browse resources dedicated to recent securities legislation, such as the JOBS Act and Sarbanes-Oxley
  4. 4. ._': ? Wolters Kluwer . l‘ g; } Home 31 Browse fl Research Folders mansions ©Tracker News 9 Crtalor {jiajerooisrsman Charts Browse lciear A $earctiIBrowse: DocurtientTray[Cl] History SavedSearctles Finch: Browse 3: all content l'llGol [gurus A-zl Forms 0‘IRs FAcis D <> i Federal Securities Cases Archive - Selected cases (1941 -1993) D <> i Federal Securities Laws and Regulations El <> i International Secunties Law Handbook ~ Soulier & Best D <> i Julnpstart Our Business Stanups Act Law‘ Explanation and Analysis (April 2012) D <> i Sarbanes-Oxley Act or 2oo2 Law & Explanation (July 2002) El <> i SEC Accounting Rules D <> i SEC Compliance and Disclosure Interpretations El <> i SEC Enforcement Actions l]<> I SEC No-Action Letters (current) i SEC Nd-Action Letters (2004 — 2lJ13'i D <> E Daily Document Uooate D <> EC Staff comment Letters i SEC Starr Comment Letters (current) D 0 [3 SEC Stall Comment Letters (2014) V W<>i Uéi You can also browse SEC actions in different securities areas. D <> IE SEC Docket (2 SEC Docket (1 E173 - 2004) SEC No-Action Letters (1971 -1977) Selected No-Action Letters FSLR (1971 -1977) D <> El FSLR Selected Releases l1940- i972) _l <> i see Start comment Letters (2Dl3i Li <> (:3 sec starrcommerit Letters (2011) :1 <) lg SEC Stall Comment Letters (2012) E Q [1] SEC Stall Comment Letters (2010) _l <> i SEC Stall Comment Letters (2008 - 2DCl :1 <> lfl SEC Slafl‘ Comment Letters (2005 — 200 Di’-<> l: l<>i i Securities Topic Navigator - Search by Topic U 8 Regulation of the International Securities and Derivatives Markets — Greene, Beller, Rosen, Siiverman, Braverman, Sperber and Gratiar D <> Indexes 8. Tables [ 1 <> Federal Securities Law Reponer Finding LIStS l 1 Q [I] SEC Accounting Rules- Finding List ®2Dl 4 Wolters Kluwer All Rights Reserved Suhiecllo Terms 5. Culldrtlalls Contact 0
  5. 5. Seaychlflfowse: DacurrientTray[Cl] History savedseaicries Pram selectedcontenl F exemptedtransactlons llsol S 12 DJ Browse fiiiesearcri Folders lfgjcnations © Tracker News ,0 citator i‘§}Too| s/Srriarl . s Farrris UsA| RS FAos Browse [Clear All] State Tax Consumer irianciai services Intellectual Property secureo Transactions intematignal Tax Corporate 1 vernance International Securities 8. Business 0 Securities (Federal) PACCGUMIHQ and Audit Energy 3. N ral Resources Investment Management Securities (State) Adi/ enising Law European 0 n Financial Services Laoor and Employment Law Tyanspgnafion Law Antitrust & Trade Regulation Extnariges 5i R05 Lahor and Employment Law (State) UK Financial Services Banking (Federal) Financial and late Planning Litigation us pinamai Services Banking (State) Franchising 3: Stl’lDtlt‘Dn MEFQEVS Kr flCQ| AlSltl0!iS Tools/ Smart Charts Banking Compliance Library Fringe Benefits « <> [1] Securities (Federal) i ' Make tn s my starting library) El <> News 8. current Awareness :1 <; 3 Compliance 350 Q Q 5 Financial Services ews :1 Q International Securities Outlook Archive I: 4; SEC Tracl<erDaiiy- _] .1 <> [I Dodo-Frank News Center Q Q 5 Hedge Funds and ' ate Equity Risk Mariagernerit and Regulatory Update J L Q [I Jim Hamilton's World oisecurties Regulation Blog I_’ 4} a White Papers and Ms :1 <> El Federal securities Law Reponer - Report Letters B <> i international securiti and Financial Reporting Update 3 <> [Ii SEC Accounting Rules Repon Letters B <> El Capital Markets Handbook — Burch and Foerster Note “'3' If you would "kc ‘° 533"? “ any °' these materials rather than browse, simply F‘ <> ‘ Dodd~Frank Wall Street Reform and Consumer Protection Act’ Law, Expl select the resources within which you F‘ <> i European Secunties Regulation - Warren would like to search and enter your search terms In the search bar at the top ot the page. Make sure that you search within El <> aFederaI Securities Law Reporter - Transfer Binders (1993 - 2001) ‘selected content. " J3FederaI Securities Law Reporter E] <> i Federal Secunties Cases Arcnive - Selected cases (1941 - 1993) T‘ <> i Federal Securities Laws and Regulations t ‘ O i International SECUTHIES Law HEHIJDOOK - SOUIIET Bl BESt D <> i Jumpstan our Business Startups Act Law, Explanation and Analysis (April 2012) D <> i SarDane5—Ox| ey Act of 2002‘ Law & Explanation (July 2002) D <> T SEC Accounting Rules D <> El SEC Compliance and Disclosure Interpretations
  6. 6. Searchlflmwgej pocumentfrarlfll I History I Saved Searches i Practlc . W I’: Kl °<c~° “W” Chitin Tretlvultels tlflw Toohlfirlntohill Fdtrrlo IISFMB <> i Securities (Federal) t 0 Make this my staning library) 0 News 8. current Awareness Q 5 Compliance 360 Q Q 5 Financial Services Nevis Q International Securities Oimook Arctirve Q SEC Tracker Daily ifi Q 5 Dodd~Frank News Center Q Q 5 Hedge Funds and Private Equity: Risk Management and Regulatory Update gt Q 5 Jim Hamilton's World at Secuntia Regulation Blog Q 5 Wtilte Papers and Mel Q i Federal Securities Law Reponer - Report Letters E] Q i lntematronal Securities and Financial Reporting Update Q i SEC Accounting Rules Report Letters <> [3] Capital Markets Handbook - Burcti and Foerster 0 [I Dodu»Frank wall Street Reform and Consumer Protection Act" Law, Explanation and Analysis (July 2010) 0 i European Securities Regulation - warren As mentioned, the "Federal Securities Law Reporter" is one of the most widely used resources in securities law and one [1 Federal Securities Law Reponer l Federal Securities Law Reponer - Transfer Binders (1993 - 2001) that Is available on Intelllconnect. cllck Federal Securities Cases Archive « Selected cases (1941 - 1993) hefe 10 browse the FSI-K Federal Securities Laws and Regulations International Securities LBW Handbook - SOLIHCT 8: Best Jumpstart our Business Stariups Act: Law, Explanation and Analysis (April 2012) F-IF-l Sartianes-Oxley Act of 2002: Law ii. Explanation (July 2002) SEC Accounting Rules SEC Compliance and Disclosure Interpretations 000000000 [I SEC Enforcement Actions
  7. 7. SeomhiBrow: e: Wolters Kluwer i tr all corleiit ’ 6} Home Browse 3: [E] Browse 5 Research Folders E] Citations © Tracker News &% Citator {5} Toolslsmart Charts 7 Forms 0% IRS FAOs Browse IC| eetr Aiilllgll Titles All Ali Content > Secunties(FeoeraI) <> i Federal Securities Law Reporter (9 9 <3°”e'a' ‘3“‘‘’9 The FSLR not only provides 9 9 Secunties Act of 1933 ‘new quick access to key Q securities statutes, but it Q <> Secunties Exchange Act of 1934 a| so offers addi Iona| analysis within each provision. select 9 <> Investment Company Act of 1940 -sec“. -mes Act of 1933;- Q <> Trust Indenture Act of 1939 Q Q Investment Advisers Act of 1940 Q <> Dodd-Frank Wall Street Reform and Consumer Protection Act 9 <> Staff Legal BLHBW1 Releases Q <> Related Securities Laws and Regulations 9 9 Rules at Practice and Conduct (2 <> Regulation ST 9 <> Regulation S-)( (2 o Regulation SK 9 <> Financial Reporting Releases (2 <> Codification of Financial Reporting Poicies R} <> Accounting and Auditing Enforcement Releases Q <> Stafl Accounting Bulletins (,3, <> Corporation Finance Disclosure Guidance Q <> FSLR Transter Binders--2DO2 to Current
  8. 8. Wolters Kluwer __ all content ’ SearchIBrowse: Q Home Browse 3: LL] Browse 5 Research Folders [§] Citations © Tracker News Q Citator {§}TooIs/ Sman Charts [: ] Fomis 0-. A IRS FAQs Browse [clear All ] [37] lg] 1 Titles A-Z| l Allconterit > Securities(Federal) > Federal Securities Law Reponer <> securities Act of 1933 + securities Act oii933 . ..then select "Securities Act of 1933" again. 9 <> Securities Act Forms Q 4; HOW TO ANSWER FORM 8-1 @2014 Wolters Kluwer. All Rights Reserved Subject to Terms 8. Conditions Contact Customer Support
  9. 9. SOITCHIBTUWSGI °’°VcV~°"e'S KW’ ] Bruno Research Folds! Oifliurie Trash lbw (film Tuifilsrrut Ohuh Forrru I FM} BIUWSG ‘ All Content > Secuntles (Federal) > Federal Securities Law Reporter > Securities All! of 1933 ¢ securities A“ of 1933 Then select the provision Q <’ Sm" T'“°_s°°“ in which you are Q . _ é interested. Let's say you are interested in how Q ¢ Swap Agreernents—Sec. 2A "security" is defined in Q <> Exemmed secu, ,t~, e,, _Se. ,_ 3 the statute. select the "Definitions" section of Q ¢ Exempted Transactions—Sec. 4 the stating Q <> Requirements for Cenain Small Transactions—Sec.4A Q <> Prohibitions Relating to Interstate Commerce and the Mai| s—Sec. 5 Q Q Registratlon—Sec. 6 Q <> Infomiation Required in Registration Statement, Blank Check oirei-ings—sec. 7 Q 0 Taking Effect 01 Registration Statements and Arnendments—Sec. 8 Q <> Cease—ancl—0esist Proceeaings—Sec. 8A Q <> Court Review of 0rders—Sec. 9 Q <> Information Required in Prospectus—Sec. 10 Q 0 Civil Liabilities for False Registration Staternent—Sec. 11 Q <> Civil Liabilities for Prospectuses and Communications—Sec. 12 Q Q Limitation of Actlons—Sec. 13 Q <> Contrary Stipulations Void—sec. 14 Q ¢ Liability oi Controlling Persons—Sec. 15 Q <; Additional Rernedies—Sec. 15 Q ¢ Fraudulent Interstate Transactions—Sec. 17
  10. 10. SOIICVIIBNWISEZ O. Wolters Kluwer All Content > Securities (Federal) > Federal Securitis Law Reponer > Securities Act of 1933 > Securities Act of 1933 <> Delinitions—sec. 2 1. D O 1933 Secunties Act Sec. 2(a), [15 USC 77b(a)] DEFINITIONS 2. D Then select the section that defines "secunty. " 3. L1 0 Reg. §230.131.. [Definition of Security Issued Under Govemmentai Obligations] 4. L1 0 Reg. §230.132., Definition o1“Coinmon Tnist Fund" as Used in Section 3(a)(2) ofthe Act. 5. Q 0 Release—Voting Tnist Ceriificats; Release No. 33-97. December 28. 1933. 11 F. R. 10949.. Securities and Exchange Commission 6. L1 0 ReIease—0iI and Gas Royalty Interests; Release No. 33-135, June 20, 1934, 11 F. R. 10951 . , Securities and Exchange Commission 7. L1 0 Release—Trading Stamps; Release No. 33-3890, January 25. 1958, 23 F. R. 498., Securities and Exchange Commission 3. D 0: Release—Insurance Premium Funding, Secured Funding, or Life Funding; Release No. 33-4491 and No. IC-3480, May 22, 1962, 27 F. R. 5190., Securities and Exchange Commission 9 D 0 Release—Real Estate Syndications: Release No. 334877, August 8. 1967. 32 F. R. 11705., Securities and Exchange Commission 10. D 0 Release—Whiskey Warehouse Receipts; Release No. 33-5018 and No. 34-9733. November 4. 1969. 34 F. R. 18160., Securities and Exchange Commission 11. D O Re| ease—MultHeve| Distributorships and Pyramid Salfi Plans; Release No. 33-5211 and No. 34-9337. November 30, 1971 36 F. R. 23289., Securities and Exchange Commission 12. {J 0 Release—0frei's and Sales of Condominiums or Units in a Real Estate Development; Release No. 33-5347, January 4, 1973. 38 F. R. 1735.. Securities and Exchange Commission 13. LJ 0 Release—Mvarfislng and Sales Practices in Connection with Otters and Sales of Securities Involving Condominium Units and Other Units in Real Estate Developments; Release No. 33-5382, April 9, 1973 14. D 0 Release—Employee Benefit Plans; Release No. 33-6188, Febmary 1, 1980, 45 F. R. 9962., Securities and Exchange Commission 15. D 0 Release—Employee Benefit Plans; Release No. 336281, January 15, 1981, 46 F. R. 8446.. Securities and Exchange Commission 16. Q ¢ M1071] CCH ExpIanation—lnslruments and Anangements Deemed Securities 17. O <> 1[1071 Annolations—lnstruments and Arrangements Deemed Securities 13. D 6 1933 Securities Act Sec. 2(a)(2), [15 USC TIb(a)(2)] [Person] 19. Q <> Annotations—Person 20. L1 9 1933 Secunties Act Sec. 2(a)(3), [15 USC 77D(a)(3)] [Sale]
  11. 11. 2c: .n»: *('1I ZZ'_ -533’; 53.91353-J65 Dr: -'tIe-‘ea Freleiartes Hit L: igCu‘. = ' = ‘ 1 Stairs *r3:le' ‘teas , ‘ '. '_‘ Sa«eErrd'EPrr! r ainmusac-: nen cjaasrsnrmm Once you have drilled down to a section of the statute, the provision will appear along wifli file’: ’E0x; 'dfifionaIin, q:? ::I ricte " Ltreasiin ‘fD"‘( = e: 1Mu: I.re <e~ 7'iJ'. =.se-isnep tow: eerie. " we = m=vIce CI‘ m= t=»=1ness 1:21" anafions-are r-1" n ‘V ‘4 ‘ 1 - rs. -2 .1 e* e. are summaries of what the | )I'0ViS5OI| csrract it‘ . . 1 avg". -W 3'5€CItf3‘. _It’fiJ: Ci?1:: fi t 0l'; ::fDF1CT‘g£a: :thE ‘ @615 means and Iiowit commonly . % F”-‘W 3“ ‘ ‘ interpreted. Hie 'Annotations' section provides citations to Federal Securities LawRepurter, 1933 Seulritiesktsec. 2(a)(1), [15 USC77b(a)(1)] [Security] ‘huh m: :rcm'. e~J int: ‘he Ccnszbizted . -; g.‘1‘'¥ia; «‘~ {-1 ' I-I Slail E3. zmzeded . -‘it! Sec, l: a:: :;c1': ed ml: and 'eecI: ~:: ::r: ‘ 7}: AI: :fOmt>: r I3 . . as cam c2x‘.1fi: ze: f:kp3srL ? f_Ef. I2p31 incl-. x :1fsec: ‘.tI-:3 : ..: I"'v 1:)'i1:’. exe: tt£i£1:: cztasell : eth2 ‘.13: .52. , :z : .2'. :11 m: li1e. :p‘: :'_ crglnlige ererid £3 :11 | nz: :1:z1 se: .': ::Ie. = ex/ :mL_re relazg H: litre-_3n CI21'? K:_'
  12. 12. DDcAmenlTrBy[U] History Sa . _ Wolters Kluwer I ‘I- Q Home Browse 3; I]; Browse 5 Research Folders | §Iciiations © Tracker News 9 Citator {c}}Too| sISman Charts ? Forms 0, IRS FAQs Browse I Clear All II I@ Titles A-Z _I 0 Federal Securities Cases Archive - Selected cases (1941 - 1993) _ O i Federal securities Laws and Regulations <> i IHIETHZIIOHEI SECUTKIES LBW HZFIUDDDK - SOUIISI 8: BS5! I O i Jumpstart Our Business Startups Act Law, Explanation and Analysis (April 2012) <> i Saroanes-Oxley Act of 2002. Law & Explanation (July 2002) <> i SEC Accounting Rules <> i SEC Compliance and Disclosure interpretations Q i SEC EntorcementActions : I <> SEC No-Action Letters <> i SEC No-Action Letters (current) i SEC NoActIon Letters (1983 - 2003) i SEC NO-ACIIOI1 Letters (1971 -1977) <> i SEC No-Action Letters (2004 - 2013) 4)» i SEC No-Action Letters (1978 - 1932) ’ <> i Selected No-Action Letlers FSLR (1971 - 1977) 3 <> SEC RGIGBSOS and Olhfif MECEYHIS <> i Daily Document Update <> i SEC Docket (2005 - 2012) <> i SEC Docket (1973 - 2004) L] ¢ i FSLR Selected Re(eases (194 3 <> SEC staff comment Letters <> i SEC Staft Comment Letters (current) i SEC Sta~‘i Comment Letters (2013) i SEC Staff Comment Letters (2011) <> i SEC Staff Commei <> 3 SEC Staff Comment Letters (2014) 4; i SEC Slaii Comment Letters (2012) <> i SEC Staff Comm SEC Staff Commei Another way to browse Intelliconnecfs lederal securities law materials (and possibly a more user-friendly <> i U. S Regulation of the International Securities and Derivatives Markets - Greene. Beller. Rosen. Silverman, Braverman. Sperber and Grabar way) is through the "Securities _ <> Indexes & Tables -I-opic Navigatonu <> Federal Securities Law Reponer Finding Lists I <> i SEC Accounting ©2014 Wolters Kluwer All Rights Reserved Subject to Terms Si Conditions Contact Customer Sliggofi
  13. 13. Topic Navigator "" — Collapse Help 0 All Terms 0 Any Term 0 Prime 5 use rh. -gums Select specific topic(s) to narrow search or expand a topic to browse deeper levels. E Select All Topics. .. E ACCOUNTING AND AUDITING J BROKER-DEALERS 4 CORPORATE FINANCE I2 J A 0 Expand All 0 Collapse All In general Federal Securities Law Reporter [2] Delaware Statutes [2] Folk on the Delaware General Corporation Law — Welch. Turezyn & Saunders [1] Regulation of Securities: SEC Answer Book - Steven Mark Levy [1] CORPORATE GOVERNANCE Delaware Law of Corporations and Business Organizations - Balotti & Finkelstein [7] E‘ The Regulation ol Corporate Disclosure - J. Robert Brown Jr. [3] ln General Mergers, Acquisitions and Buyouts — Ginsburg 8. Levin [1] Attomey Reporting of Misconduc Business Judgment Rule . Stephen A. Radin [4] 3 Board of Direcmm Insights: The Corporate and Securities Law Advisor - Amy L. Goodman [32] In general SECnet » Significant SEC Filings [5] Business Judgment rule Committees Disclosure Elections '3 Through the ‘Topic Navigator, " you Best price (Revlo duties) can more easily drill down by topic Care and Intelliconnect will provide you Corporate opportunity doth with links to all of its materials on Defenses to claim for breac the matten Disclosure "Entire fairness" standard Good faith Loyalty Oversight (duty to monitor) Specific breaches Statutory provisions Independence Litigation procedure Meetings Resignation. removal or death Succession planning Certification of Reports Code of Ethics Criminal Provisions Delaware Corporation Law V ( ' )
  14. 14. . 5 ti B : Wolters Kluwer mi _ — , , < all content as Home Brown 3: jg Browse E Research Folders El cautions © Tracker News $2 Citutor {figs rouis/ smsn crians Browse Clear All‘ Wlfitles A. zl All content (Prectsce Areas) ' My Favorites Tax News. Journals and Newsletters Ccmmélfl-‘ll Federal Tax State Tax lnterna: ionai Tax Accounting and Audit Advertising Law Antitrust & Trade Regulation Banking (Federal) Banking (Stale) Banking Compliance Library ’ Forms QAlRS FAQ: Bankruptcy Law Library Commodities a. Derivatives Consumer Financial services Corporate Governance Energy & Natural Resources European Union Financial Services Exchanges & SROS Financial and Estate Planning Franchising 8. Distribution Fringe Benefits Select a library: Hea t'i Care Compliance and Reimbursement Insurance Coverage Litigation intellectual Property lntemational Securities 8. Business Investment Management Labor and Employment Law Labor and Employment Law (State) Litigation Mergers & Ac uisltioris DocumentTray[Cl] Htstory Savedseé Government Contracts Payroll Privacy Law Products Liauiiity & Salety Secured Transactions Securities (Federal: Securities (State) Transportation Law UK Financial Sewices US Financial Sewlces Tools/ Smart Charts <> i securities (State) ' Make tviis my starting liuraryi <> NIWS & cltlfflllt AWJFOIIOSS [_] <> i Blue Sky Law Desk Reference Report Letters Ll O i Blue Sky Report Letters [J<>‘ Ll<>‘ NASAA Report Letters NASAA Tracker Daily Intelliconnect offers much of the same types of state securities law materials as the federal section. I o | ] Securities Transfer Guide Report Letters The “Blue Sky Law Reporter" is the state law version of the Federal <> i Blue Sky Law Desk Reference o Blue sky Law Reponer Ll <> 3 Blue Sky Decisions u <> i Blue sicy Finding Lists - cnarr summaries or blue sky law by topic <> i Blue Sky Explanatory Guides Summaries of blue sky laws 8. regulation 3 <> i Blue Sky Laws & Regulations tn state Securities Law Reporter. The "Blue Sky Explanatory Guides“ are particulariy helpful in obtai ng a snapshot of the securities laws in a partlcular state. nts. Administrative Orde i Blue Sky Smart Cnans Compare Jurisdictions ¢ Q The "Blue Sky Smart charts" are very NASAA Reports ~ Policy statements. fomis. surveys, comment letters. briefs. speeches 8. other materials useful if you want to compare the NASAA Statements of Policy T SECUFIIIES Transfer Guide ¢<><><> Uniform SECUMIBS ANS securities laws of multiple jurisdictions.

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