Chapter 17 - CHAPTER 17 OBLIGATIONS OF A COMPANY AND ITS PRINCIPALS UNDER THE SECURITIES EXCHANGE ACT OF 1934

• Jurisdiction: Colorado

Chapter 17 OBLIGATIONS OF A COMPANY AND ITS PRINCIPALS UNDER THE SECURITIES EXCHANGE ACT OF 1934

SYNOPSIS

§ 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

§ 17.5.2—The Proxy Rules And Corporate Law

§ 17.5.3—Additional Requirements For A Contested Meeting

§ 17.5.4—Proxy Access

§ 17.5.5—Communication With Beneficial Owners And Voting

§ 17.5.6—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...