Section 16 Treatise and Reporting Guide

Part I. Chapters
1. Statutory Scheme
2. Statutory Insiders
3. Equity Securities
4. Beneficial Ownership
5. The Reporting System
6. Reporting Exemptions
7. Reporting Guidelines
8. Issuer Disclosure and Guidance
9. Short Swing Liability
10. Purchase and Sale
11. Short-Swing Measuring Period
12. Realized Profit
13. Section 16(b) Exemptions
14. Transactions with the Issuer Under 16b-3
15. Short Sales, Market Making, Arbitrage, and Trading In Pension Fund Blackout Periods

Part II. Appendix
  A. Statutory Provisions
  B. Rules and Regulations
  C. Reporting Forms
  D. Selected Section 16 Releases
  E. Selected Staff Interpretations
  F. SEC Amicus Curiae Briefs
  G. Model Compliance Documents
  H. Selected Letters from the American Bar Association

Part III. Index

2-For-1! Section16.net and Section16Treatise.net are now combined into one membership!

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In response to numerous requests, we have now created an online version of the popular Romeo & Dye's Section 16 Treatise and Reporting Guide. This 2nd Edition of the Treatise from Peter Romeo and Alan Dye continues to be the essential Section 16 resource providing practical guidance on Section 16 of the Securities Exchange Act of 1934 and all of the related rules. 

Note that the online version of the Treatise has been updated from the hard copy Treatise mailed early in 2005 to reflect the SEC's adoption of amendments to Rules 16b-3 and 16b-7. The next full revision is not expected until sometime during the next year or so. To follow ongoing developments, refer to your Romeo & Dye's Section 16 Updates issued every quarter as part of the Romeo & Dye's Romeo & Dye's Section 16 Annual Service.

Many lawyers and administrators responsible for Section 16 expressed frustration with the challenges of locating a copy of the popular Treatise within their own firm or company, as it remains the type of valued resource that everyone uses as a deskside reference. With this online resource, never go searching for that hidden copy again! Try a No-Risk Trial Today!

The Essential Resources
·CompensationStandards.com
·DealLawyers.com
·NASPP
·Section16.net
·TheCorporateCounsel.net
·The Corporate Counsel
·The Corporate Executive
·Section 16 Annual Service
·Romeo & Dye's Section 16 Filer
·Compensation Standards print newsletter
·Deal Lawyers print newsletter
·InvestorRelationships.com