Research Catalog

Title

The SEC speaks again. A. A. Sommer, Jr., program chairman. Alan B. Levenson, SEC coordinator. Henry W. Enberg II, staff editor.

Publication

New York, Practising Law Institute [1973]

Items in the Library & Off-site

Holdings

Details

Additional Authors

• Sommer, A. A. (Alphonse A.), 1924-
• Levenson, Alan B.
• Enberg, Henry W., 1940-
• Sommer, A. A. (Alphonse A.), 1924-2002.
• Practising Law Institute.

Description

xv, 247 p.; 24 cm.

Series Statement

Corporate law and practice transcript series ; no. 20

Uniform Title

Corporate law and practice transcript series ; no. 20.

Subject

• United States. Securities and Exchange Commission
• Securities > United States

Note

• "B2-0292."
• A rev. and expanded transcript of a program held Feb. 23-24, 1973, and sponsored by the Practising Law Institute.

Bibliography (note)

• Includes bibliographical references.

Processing Action (note)

• committed to retain

Contents

• Market structure / by John M. Liftin -- Rule 19b-2 / by Robert C. Lewis -- Self-regulatory oversight / by Sheldon Rappaport -- Financial responsibility rules / by Lee A. Pickard -- Trading practices / by Michael Saperstein -- 10b-5 Guidelines ; best execution / by Harvey L. Pitt -- Specific problems / by Robert C. Lewis, John F. Liftin, Lee A. Pickard, Harvey L. Pitt, Sheldon Rappaport, Michael Saperstein, Richard B. Smith and A.A. Sommer, Jr. -- Policy-making in briefs ; multi-district panels / by Walter P. North and William L. Cary -- Appealability ; market information and Rule 10b-5 / by David Ferber and William L. Cary -- Introduction : Division of Investment Management Regulation / by Allan S. Mostoff -- Advertising ; group sales / by Anne P. Jones -- Mini-accounts / by Alan Rosenblat -- Rule 17j-1 / by Lewis J. Mendelson -- Office of Compliance / by Sydney H. Mendelsohn -- Specific Problems / by Allan S. Mostoff, Alan Rosenblat and James C. Sargent --^
• Introduction : Division of Corporation Finance / by Alan B. Levenson -- Integration of reports and filings ; real estate tax shelter offerings / by Ralph C. Hocker -- Dividend reinvestment plans ; presumptive underwriters / by John J. Heneghan -- Rule 144 / by Thomas N. Holloway -- Rule 145 ; proxy rules / by Neal S. McCoy -- Private placements and Rule 146 / by Charles S. Whitman III -- The intrastate offering exemption / by Richard H. Rowe -- Projections / by Andrew P. Steffan -- Specific problems / by Hamer H. Budge, John J. Heneghan, Ralph C. Hocker, Thomas N. Holloway, Alan B. Levenson, Neal S. McCoy and A.A. Sommer, Jr. -- Introduction : Division of Enforcement / by Irving M. Pollack - Organization / by Stanley Sporkin -- Regional enforcement / by Gerald Boltz -- Specific problems / by Ralph H. Demmler, Gerald Boltz, Irving M. Pollack, A.A. Sommer, Jr. and Stanley Sporkin -- Introduction : Office of the Chief Accountant / by John C. Burton --^
• Business combinations / by Clarence Sampson, Jr. -- Specific problems / by John C. Burton, Manuel F. Cohen, Alan B. Levenson, A. Clarence Sampson, Jr. and A.A. Sommer, Jr. -- Introduction: Division of Corporate Regulation / by Aaron Levy -- Redistribution / by Bernard Wexler -- Specific problems / by Manuel F. Cohen, Aaron Levy and A.A. Sommer, Jr. -- Overview and forecast / by Manuel F. Cohen, Ralph H. Demmler, David Ferber, Alan B. Levenson, Allan S. Mostoff, Walter P. North, Irving M. Pollack, Sheldon Rappaport, Richard B. Smith, A.A. Sommer, Jr. and Stanley Sporkin.

LCCN

^^^73083698^//r853

OCLC

802947

Owning Institutions

Harvard Library