The SEC's Division of Corporation Finance responds to the thousands of telephone inquiries annually concerning the statutes, rules and regulations it administers. This manual provides a compilation of responses to these inquiries, providing valuable, informal guidance in numerous areas of SEC regulation. The manual serves as an indicator of how the Division and the Commission itself might proceed formally in various regulatory scenarios. After exhausting cases, releases and no-action letters, practitioners often turn to this source for guidance.
The Seventh Edition reproduces interpretations issued by the Division through January 2007. A new chapter on Regulation AB and related rules features interpretations issued in December 2005. The existing proxy rules chapter includes interpretations of Rule 14a-4(a)(3) issued in the most recent Interim Supplement. The new edition also features history notes throughout, indicating when the SEC staff issued, modified and/or rescinded each particular interpretation.
The book is available in print and online (as part of the Federal Securities Regulation Integrated Library).
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