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 Compliance
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 and Other Transactions

Part II. Appendix

  A. Statutory Provisions
  B. Rules and Regulations
  C. Reporting Forms
  D. Selected Section 16 Releases
  E. Selected Staff Interpretations
  F. Model Compliance Documents
  G. Selected Letters from the American Bar Association
  H. U.S. Supreme Court Decisions

Part III. Index


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This 4th Edition of the Treatise is dated August 2012.