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RR Donnelley offers a selection of reference publications to help make it easier for you to do your job more efficiently and meet SEC filing requirements. Simply check the box(es) next to the publications you wish to download in PDF format, fill in your e-mail address, and click continue. You will be prompted to enter or verify your contact information, then a web page with your download selections will be provided. Please download these documents and save them to your computer.
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The SEC calendar for capital markets was developed to assist corporate issuers in preparing for EDGAR filing deadlines, peak periods, and SEC and market holidays.
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A single sheet reference for capital markets SEC filing dates to assist you in preparing for EDGAR filing deadlines.
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The SEC calendar for investment markets was developed to assist your business in preparing for EDGAR filing deadlines, peak periods, and SEC and market holidays.
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A single sheet reference for investment markets SEC filing dates to assist you in preparing for EDGAR filing deadlines.
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The Canadian calendar for capital markets was developed to assist corporate issuers in preparing for SEDAR filing deadlines, peak periods, and market holidays.
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The SEC calendar was developed to assist your business in preparing for SEC filing deadlines and holidays in Singapore, Hong Kong and Japan.
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The international holiday calendar was developed to help your business plan for its global activities. Major holidays for Luxembourg, the United Kingdom, France, Germany, Italy, Spain, China, Hong Kong and the United States are included.
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As the industry’s leading financial printer, RR Donnelley is equipped to be your company’s sole compliance provider. RR Donnelley 360° Compliance provides a full range of services that enhance the accuracy and turnaround time for all activities related to the review, preparation, delivery and storage of your critical compliance programs.
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Every public corporation in the United States is required by its charter documents, the corporate law of its state of incorporation and the federal securities laws to hold a meeting of shareholders at least once each year. The Annual Meeting Handbook provides a general overview of the State and Federal Laws and Stock Exchange Rules related to these required annual meetings of shareholders.
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Best Practices in Outsourcing XBRL: 10-K Detailed Footnote Tagging by Tier I Companies
In this whitepaper written by William M. Sinnett of Financial Executives Research Foundation, Microsoft and Dow Chemical Company provide an inside look at some of the issues that presented the most significant challenges and offer guidance to ensure you are better prepared to handle the additional Year 2 requirements.
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This publication has been written to acquaint public companies in the United States about their obligations under the corporate governance regulatory scheme that exists after the enactment of the Sarbanes-Oxley Act of 2002. It also informs companies and their officers, directors and shareholders about their SEC reporting obligations, the restrictions on trading in the companies' stock and the rules related to document retention. Finally, this publication seeks to familiarize companies with the process of going private or going dark in the event of a determination that the costs and burdens of being a reporting public company listed on an exchange outweigh the benefits of being a reporting company.
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A Practical Guide to the SEC's Executive Compensation Disclosure Rules
The Securities and Exchange Commission recently adopted further amendments to its executive officer and director compensation disclosure rules, which the SEC had comprehensively amended in 2006, that require enhanced disclosure in proxy and information statements, annual and periodic reports, and registration statements. These additional changes to the rules will likely continue the attention and scrutiny the SEC, investors and the public have been applying to proxy statements and annual reports during proxy and annual reporting seasons. This revised handbook provides an overview of the SEC’s compensation disclosure rules and related requirements, including the most significant changes and requirements through May 2010 under the rules and guidance, and offers practical advice to help companies understand, and comply with, the disclosure requirements.
For updates on new developments in executive officer and director compensation disclosure requirements after May 2010, please visit: http://www.perkinscoie.com/exec_comp_handbook_updates/
The 2010 Dodd-Frank Wall Street Reform Act
Congress has approved the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, and President Obama has signed it into law. While the Financial Reform Act primarily addresses financial regulation, it also contains significant new corporate governance, executive compensation and proxy voting provisions that affect all U.S. public companies.
For a comprehensive overview of this Act, please visit: http://www.perkinscoie.com/news/pubs_detail.aspx?op=updates&publication=2701
For ongoing updates of this Act, please visit: http://www.perkinscoie.com/thefinancialreformact/
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This whitepaper was written to provide a summary of the Securities and Exchange Commission’s guidelines on electronic distribution of regulated financial information.
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This handbook is designed to assist directors and officers of public and private corporations in fulfilling their duties to their corporate constituents. The Handbook is intended to provide both an authoritative resource and a practical hands-on tool for addressing various situations faced by directors and officers. To that end, the Handbook combines a discussion of the law and case studies and practice pointers that illustrate application of the law to the real world challenges faced each day by directors and officers of U.S. corporations.
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This book prepared by Stradley Ronon and published by RR Donnelley provides the text of the Investment Company Act and the Investment Advisers Act and the rules adopted thereunder in convenient handbook form.
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This whitepaper discusses process improvements that substantially reduce legal spend.
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This book prepared by Stradley Ronon and published by RR Donnelley provides a guide to investment company mergers and to Form N-14.This convenient guide pulls together the relevant items in Form N-14 and the pertinent sections of the Securities Act of 1933 (the “Securities Act”), the Securities Exchange Act of 1934 (the “Securities Exchange Act”) and the Investment Company Act of 1940 (the “1940 Act”) can be helpful to both practitioners and senior executives in the investment company industry.
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This book prepared by Stradley Ronon and published by RR Donnelley has been prepared to assist investment companies and their various service providers to identify the retention periods for mutual fund records maintained under the various rules affecting mutual funds.
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The Directors' and Officers' Guide to Restructuring
This book was written by Skadden, Arps, Slate, Meagher & Flom LLP to provide information on corporate governance best practices. It supplements directors' and officers' prior experiences with specific knowledge about how to manage companies that are undergoing rapid change and/or are at risk of becoming, or have already become, distressed business enterprises.
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This comprehensive guide was developed by RR Donnelley for use by senior financial executives. It includes a timeline for tagging financial statements, filing XBRL reports, and other XBRL-related practical information.
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The 2011 proxy season promises significant new challenges for public companies, as the Dodd-Frank Act has now mandated Say-on-Pay votes at annual meetings. The Say-on-Pay votes will occur in an environment of heightened shareholder activism and an ever-increasing focus on compensation and corporate governance disclosures. This Proxy Season Field Guide provides you with an overview of recent legislative, regulatory and shareholder developments, and provides guidance on how these developments will impact you in the 2011 proxy season.
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A Practical Guide to Going Public, Raising Capital, and Life as a Public Company
2011 edition now available!
This manual provides companies with a step-by-step guide to the process of becoming publicly held. It also details compliance obligations and strategic and management systems imperatives that are, among other things, required in order to reliably and repeatedly access public capital as a company progresses from newly public to a mature issuer. This manual can help companies, whether based in the United States or overseas, anticipate the substantially increased challenges of a more demanding investor community and rigorous regulatory environment and plan accordingly.
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This whitepaper provides an overview of current SEC requirements related to EDGAR Filing of 497 Supplements in XBRL. It also describes the various methods that may be employed when adding XBRL tags to Mutual Fund supplements.
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This book prepared by Stradley Ronon and published by RR Donnelley provides a comprehensive overview of the various registration forms and disclosure requirements for mutual funds. Extensive guidance is given as to the type and quality of disclosure necessary in a mutual fund's prospectus and registration statement. This book has been the standard industry text on fund disclosure for over 2 decades.
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Observations, Pitfalls, Insights and Guidance
This whitepaper provides a review of detailed footnote tagging observations, pitfalls, insights and guidance, provided by Paul Penler, Executive Director at Ernst & Young.
SEC Handbook
The SEC Handbook two volume set contains the basic federal securities laws, as well as the principal SEC rules and forms under those laws and other related laws and regulations, and are intended to serve as a basic reference source for lawyers, securities professionals, corporate officers, and others who have occasion to deal with questions of securities laws. This completely new and updated two-volume set, edited by Wolters Kluwer Law & Business, includes the following:
- Securities Acts of 1933 and Securities Exchange Act of 1934
- Rules and regulations of general applicability and the principal forms under the 1933 and 1934 Acts
- SEC's Rules of Practice, Rules on Informal and Other Procedures and Rules Relating to Investigations
- Sarbanes-Oxley Act of 2002
This book is only available in printed format. For a copy, please contact your sales representative or click here to contact us.
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This book was written by Shareholder Representative Services to provide best practices and practical drafting tips often overlooked in M&A transactions.
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A Practical Guidebook for Business Owners, Managers and Advisors
This guidebook and manual provides capital-seeking companies (and their owners, managers, and advisors) with a step-by-step guide to the process of pursuing, negotiating, and securing venture capital funding. It offers both a primer for “first-timers” and a refresher course for more seasoned companies and participants pursuing follow-on venture capital financing. The guidebook provides unique and valuable insight into the approach and objectives of venture capital fund investors, from initial introduction through consummated investment round, as well as practical pointers on proven approaches for interfacing with “VC” investors, responding to due diligence and other requests, negotiating a term sheet and investment documents, closing an investment transaction, and making the most of a venture capital investment “partner”. Finally, the guidebook includes two useful annexes – an illustrative (and annotated, with commentary) Series A Investment Transaction Term Sheet and a Glossary of Venture Capital Terms and Jargon.
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This memorandum is intended to review SEC release 33-8929; IC-28298 regarding interactive data for mutual fund companies.
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This reference guide is intended to give you some background on XBRL for the investment markets and has been prepared to show you how you can implement XBRL in your company.
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This guide has been created to assist you in determining which elements (tags) are available to use for your risk/return summary XBRL filing. This list has been created from the 2010 taxonomy which was approved by the SEC and released on April 12, 2010.
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