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library
Gain insight into industry trends, compliance issues, policies and procedures, and a broad range of other topics. You may view a resource online by clicking the image or title, or you may download a digital copy by choosing the Download PDF option. If you would like to visit regulatory and industry Web sites, please use the links below.
- Bankruptcy & Insolvency
- Corporate Governance & Directors' Duties
- Corporate Law
- Financial Reporting, Taxation, & Accounting
- Fund Accounting
- Fund Operations & Management
- Global Markets
- Initial Public Offerings
- Investment Banking & Broker/Dealers
- Investment Management Compliance & Regulation
- Investment Management Marketing
- Mergers & Acquisitions
- Private Equity & Venture Capital
- Sarbanes-Oxley
- Securities Enforcement & Fraud
- Securities Offerings
- Securities Regulation & Disclosure
March 2008
Audit Committee Guide - Fourth Edition
Author(s):
Arthur H. Bill
Firm:
Foley & Lardner LLP
Overview:
Rules and regulations affecting the responsibilities, composition and activities of the audit committee.
February 2008
European Private Equity In Review
Overview:
Bowne is pleased to present the 2007 full year edition of the European Private Equity in Review. This comprehensive report highlights the latest trends within the European private equity market, covers activity across various industry sectors and provides an analysis of buyout and exit trends over the course of 2007. This report will provide useful insights for dealmakers and their advisors.
February 2008
North American Private Equity in Review
Overview:
Bowne is pleased to present the sixth edition of the North American Private Equity in Review. This comprehensive report highlights the latest trends within the North American private equity market, covers activity across various industry sectors and provides an analysis of buyout and exit trends over the course of 2007. This report will provide useful insights for dealmakers and their advisors.
February 2008
2008 SEC Reporting Rule Books
Author(s):
Patricia A. Gritzan, Esq., Katayun I. Jaffari, Esq., Craig F. Zappetti, Esq., John H. Chung, Esq., Jeffrey M. Lipschutz, Esq., Justin Ettelson, Esq.
Firm:
Saul Ewing LLP
Overview:
The 2008 SEC Reporting Rule Books are an excellent reference source for legal and accounting professionals and corporate executives. In these publications rules are presented in an easy to read format with the relevant portions of Regulation S-K and S-B immediately following the reference, making it easier to review the complete disclosure requirements. In addition, many cumbersome citations are eliminated and plain English rule references provided.
Download the 2008 SEC Reporting Rules for:
Forms 10-K, 10-Q and 8-K
Forms 10-KSB, 10-QSB and 8-K
Proxy Statements
May 2007
An IPO's SEC Filing Checklist
Firm:
Bowne & Co., Inc
Overview:
Pre-filing steps and organizational procedures necessary to achieve a successful filing.
January 2007
Raising Capital in the United States: A Guide to Using MJDS for U.S. Public Offerings and Periodic Reporting
Author(s):
Kevin D. Cramer, Partner, Rob Lando, Partner
Firm:
Osler, Hoskin & Harcourt LLP
Overview:
Canadian issuers are increasingly turning to the U.S. capital markets for both financing needs and strategic considerations. A public offering of securities in the United States provides an opportunity to reach a broader and deeper range of investors, enhances the potential for coverage of the company by research analysts, which in turn may result in a higher valuation of the company, and allows many Canadian companies to expand their businesses through acquisitions in the United States.
March 2006
Going Public: A guide for European Companies to listing on the U.S. Securities Markets
Firm:
NASDAQ
Overview:
This Going Public guide, published by NASDAQ, will help companies across Europe to understand what is required at every stage of the listing process – and what roles are played by the organisations most closely involved.
Author(s):
Patrick J. Schultheis, Christian E. Montegut, Robert G. O'Connor, Shawn J. Lindquist, and J. Randall Lewis
Firm:
Wilson, Sonsini, Goodrich & Rosati, A Professional Corporation
Overview:
Preview the IPO transactional process including pointers and pitfalls
(Download a complimentary PDF of the Guidebook in English)
(Download a complimentary PDF of the Guidebook in Simplified Chinese)
September 2007
The Mergers & Acquisitions Handbook – A Practical Guide to Negotiated Transactions
Author(s):
Diane Holt Frankle, Stephen A. Landsman, Jeffrey J. Greene
Firm:
DLA Piper
Overview:
A valuable resource that walks the reader through the entire M&A process.
February 2007
Expedite M & A Diligence with Bowne Virtual Dataroom™
Firm:
Bowne & Co., Inc
Overview:
An introduction to virtual data rooms, their benefits and applications including a presentation and demonstration of Bowne Virtual Dataroom.
January 2007
North American Due Diligence Insight
Author(s):
mergermarket/Remark
Firm:
Remark
Overview:
The due diligence process is critical to ensuring the successful outcome of a merger or acquisition. The Internet has provided an alternative to the traditional physical data rooms, or war rooms, with the inception of virtual data rooms (VDRs). In the past few years, virtual data rooms have become a valuable facilitator for transactions across a broad range of industries. In the 4th quarter of 2006, we surveyed 20 legal advisors, 20 private equity practitioners, 20 investment bankers & 20 senior level corporate executives to help forecast and understand the M&A market, the due diligence process & the virtual data room outlook for 2007.
February 2008
European Private Equity In Review
Overview:
Bowne is pleased to present the 2007 full year edition of the European Private Equity in Review. This comprehensive report highlights the latest trends within the European private equity market, covers activity across various industry sectors and provides an analysis of buyout and exit trends over the course of 2007. This report will provide useful insights for dealmakers and their advisors.
February 2008
North American Private Equity in Review
Overview:
Bowne is pleased to present the sixth edition of the North American Private Equity in Review. This comprehensive report highlights the latest trends within the North American private equity market, covers activity across various industry sectors and provides an analysis of buyout and exit trends over the course of 2007. This report will provide useful insights for dealmakers and their advisors.
September 2007
Venture Capital: A Practical Guidebook for Business Owners, Managers and Advisors
Author(s):
Daniel H. Aronson
Firm:
Bilzin Sumberg Baena Price & Axelrod LLP
Overview:
This GUIDEBOOK is intended as an introduction to the process of finding and securing institutional venture capital funding for an early-stage or emerging business, as well as a primer and refresher course for more seasoned companies and managers that continue to seek equity funding. While not an exhaustive treatment of the subject, it is designed to provide practical information and helpful pointers to entrepreneurs, owners, managers, and advisors on their journey to source, negotiate, document, and close one or more equity funding rounds with sophisticated investors.
December 2007
2008 EDGAR/SEDAR Calendar & Schedules
Firm:
Bowne & Co., Inc.
Overview:
A full-color, complimentary calendar featuring 2008 EDGAR & SEDAR filing deadlines, holidays and regulatory peak periods. The calendar will be useful throughout the year as you plan for and execute your 2008 compliance filings.
August 2006
EDGAR In a Nutshell
Overview:
An overview of the EDGAR filing process, including basic filing issues, new filing formats and procedures, filing fees, test and live filings, and exemptions.
February 6, 2006
EDGAR Filer Manual Volumes I and II
Overview:
Download a PDF version of each volume. Each contains a hyperlinked table of contents to quickly find the filing information you need.
September 2007
Notice and Access — What Does eProxy Mean to Me?
Author(s):
Jonathan G. Katz
Firm:
Bowne & Co., Inc
Overview:
This white paper discusses the SEC published Final Rules permitting electronic distribution of Proxy Materials, and the wide array of compliance choices issuers now face.
August 2007
eProxy Podcast on current SEC Developments and Final eProxy Rules (Notice and Access)
Author(s):
Jonathan G. Katz
Firm:
Bowne & Co., Inc
Overview:
A Podcast that discusses amended rules that build on the Voluntary Notice and Access Model in effect July 1, 2007. The rule is the Universal Internet Availability of Proxy Materials.
April 2007
E-delivery of Proxy Materials
Author(s):
Jonathan G. Katz
Firm:
Bowne & Co., Inc
Overview:
This white paper discusses the SEC adopted Final Rules permitting electronic distribution of Proxy Materials.
March 2008
Audit Committee Guide - Fourth Edition
Author(s):
Arthur H. Bill
Firm:
Foley & Lardner LLP
Overview:
Rules and regulations affecting the responsibilities, composition and activities of the audit committee.
February 2008
2008 SEC Reporting Rule Books
Author(s):
Patricia A. Gritzan, Esq., Katayun I. Jaffari, Esq., Craig F. Zappetti, Esq., John H. Chung, Esq., Jeffrey M. Lipschutz, Esq., Justin Ettelson, Esq.
Firm:
Saul Ewing LLP
Overview:
The 2008 SEC Reporting Rule Books are an excellent reference source for legal and accounting professionals and corporate executives. In these publications rules are presented in an easy to read format with the relevant portions of Regulation S-K and S-B immediately following the reference, making it easier to review the complete disclosure requirements. In addition, many cumbersome citations are eliminated and plain English rule references provided.
Download the 2008 SEC Reporting Rules for:
Forms 10-K, 10-Q and 8-K
Forms 10-KSB, 10-QSB and 8-K
Proxy Statements
January 2008
2008 Annual Meeting
Handbook
Author(s):
Joshua Ford Bonnie - Partner, Vincent Pagano Jr. - Partner & LeAnn S. Leutner - Associate
Firm:
Simpson Thacher & Bartlett LLP
Overview:
This handbook provides an overview of some of the laws, regulations and listing standards governing the conduct of annual meeting and the disclosures that U.S. public companies must furnish their shareholders in connection with annual meetings. Available for download are a PDF of the handbook as well as the Sample D&O Questionnaire as a Microsoft Word™ template.
August 2006
Executive Compensation Disclosure: Final Rule
Overview:
An aid to preparing for additional executive compensation disclosure commencing 60 days after the final rules are published in the Federal Register for Form 8-K items and for Form 10-K and proxy statement disclosures related to companies with fiscal years ending on or after December 15, 2006.
Download PDF - 1.67MB
February 2006
The Public Company Handbook - Third Edition
Author(s):
Stewart M. Landefeld, Andrew B. Moore, and Jens M. Fischer
Firm:
Perkins Coie
Overview:
Obligations of a public company under the U.S. securities laws.
October 2005
Securityholder Meeting and Proxy Solicitation Requirements in Canada
Author(s):
Patty Johnston
Overview:
An aid to organizing and scheduling your public company's annual meeting in Canada.
July 2005
Securities Offering Reform: Final Rule
Author(s):
Foreword by David B.H. Martin
Firm:
Covington & Burling – Foreword and Securities Client Advisory
Overview:
An aid to preparing for practice under the SEC's recently adopted securities offering reform rules, effective December 1, 2005.
SEC 8-K Filing Update (Webinar)
Overview:
“Real-time” Disclosure: Nuances and complexities inside the new regulation.
Rules and Regulations of the Securities & Exchange Commission (Red Box)
Overview:
The Red Box, now published by Aspen Publishers, is a complete, individual booklet library of securities laws and regulations with current amended '33, '34, '35, '39, and '40 Acts and regulations, including separate proxy rules and SEC forms booklets. Order from Aspen Publishers or call 1-877-529-5427.
Securities Act Handbook (Appeal Handbook)
Overview:
The Red Box, now published by Aspen Publishers, is a complete, individual booklet library of securities laws and regulations with current amended '33, '34, '35, '39, and '40 Acts and regulations, including separate proxy rules and SEC forms booklets. Order from Aspen Publishers or call 1-877-529-5427.
February 2008
XBRL: The Dawn of a New EDGAR
Author(s):
Rob Blake
Firm:
Bowne & Co., Inc.
Overview:
This white paper provides an overview and analysis of XBRL®, the business reporting technology that signals the transformation of a significant portion of the corporate disclosure process in the ever-changing world of U.S. Securities and Exchange (SEC) compliance filing. XBRL, or eXtensible Business Reporting Language, is a globally-accepted reporting standard changing the way companies and regulators across the world are disclosing and collecting financial data. In its most complete implementation, XBRL harnesses the power of computers in ways that release both the numeric and textual disclosure beyond the boundaries of the printed page.
December 2006
XBRL Webcast
Firm:
Bowne & Co., Inc.
Overview:
The SEC is actively adopting more data-driven reporting and encouraging the use of XBRL as a filing format. This recorded webinar provides a review of what the SEC is saying and doing to help remove barriers to widespread adoption of interactive data including XBRL. This information will help you make an informed decision on when and how to get involved in the SEC pilot program. You will learn the basics of XBRL and the key points for creating accurate interactive data and see how easy it is to get involved in this new way of thinking about and working with financial information.
December 2006
XBRL Webcast Update with David Copenhafer
Firm:
Bowne & Co., Inc.
Overview:
Wondering why the SEC is interested in XBRL and how the technology may unfold? David Copenhafer provides an overview of XBRL for the business user in this presentation.
July 2006
An Examination of XBRL and Its Relationship to the Mutual Fund Industry
Firm:
Bowne & Co., Inc.
Overview:
This brief paper explains the basics of XBRL and its possible impact on the mutual fund industry. It also examines who might benefit, and how, from the implementation of XBRL and what issues must be resolved before there can be any widespread use or reliance on this emerging technology.
