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In this handbook, renowned author William J. Hicks alerts you to judicial, legislative, and administrative developments that have an impact on clients. Use the interpretations and guidance found in the text to help clients avoid legal traps that could trigger financial malpractice suits. Topics covered include the transaction concept and theoretical foundations for the regulation of resales, identifying troublesome resales, public resales–Rule 144, public and private resales–Rule 144(k), private resales–""Section 4(1*)"", private resales–Rule 144A, and extraterritorial resales–Rule 904 of Regulation S.
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