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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 2010
Webcast - XBRL is here; are you ready? Preparing for Detail Tagging
Author(s):
Panelists - Marc Groshen, Vice President, SEC Reporting, JP Morgan Chase; Edwin M. Jenkins, Managing Director, Public & SEC Reporting, JP Morgan Chase; and Rob Blake, Senior Director of Interactive Services, Bowne & Company
Overview:
Making the transition from XBRL level one block tagging to level four detail tagging will be significant. Do you have the resources in place?
Listen to our panelists discuss year two of the SEC mandate; provide guidance on the preparation, validation and submission of level four detail XBRL tagging; and explore the implications of the heightened requirements on your external reporting team.
March 2010
Webcast - XBRL is here; are you ready? First Time Preparers
Author(s):
Panelists - Michael Hahn, Manager of Financial Reporting and Analysis, ITT Corporation; Paul Penler, Executive Director, Ernst & Young; and Rob Blake, Senior Director of Interactive Services, Bowne & Company
Overview:
Large Accelerated Filers with a market-cap below $5B are required to begin furnishing XBRL exhibits to the SEC after June 15, 2010. Everyone else begins after June 15, 2011. Are you prepared?
Listen as our panelists discuss the SEC requirements; provide guidance on the preparation, validation and submission of XBRL data; and explore the implications of the mandate on your external reporting team.
February 2010
Being a U.S. Public Company
Author(s):
Jane K. Storero - Partner, Jeffrey M. Taylor Partner, Christin R. Cerullo Associate
Firm:
Blank Rome LLP
Overview:
This handbook provides an overview of some of reporting obligations of foreign private issuers and their insiders under the U.S. federal securities and regulations.
January 2010
2010 Annual Meeting
Handbook
Author(s):
Joshua Ford Bonnie - Partner, Vincent Pagano Jr. - Partner & LeAnn S. Leutner - Associate
Firm:
Simpson Thacher & Bartlett LLP
Overview:
The 2010 Annual Meeting Handbook: A Practical Guide for Directors and Executives 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.
December 2009
2010 EDGAR/SEDAR Calendar & Schedules
Firm:
Bowne & Co., Inc.
Overview:
A full-color, complimentary calendar featuring 2010 EDGAR & SEDAR filing deadlines, holidays and regulatory peak periods. The calendar will be useful throughout the year as you plan for and execute your 2010 compliance filings.
October 2009
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.
February 2010
Being a U.S. Public Company
Author(s):
Jane K. Storero - Partner, Jeffrey M. Taylor Partner, Christin R. Cerullo Associate
Firm:
Blank Rome LLP
Overview:
This handbook provides an overview of some of reporting obligations of foreign private issuers and their insiders under the U.S. federal securities and regulations.
October 2009
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.
October 2008
The Initial Public Offering: A Guidebook for Executives and Boards of Directors - Third Edition
Author(s):
Patrick J. Schultheis, Robert G. Day, J. Randall Lewis, Shawn J. Lindquist, and Robert G. O'Connor
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
Complimentary Hardcopy offer - English Version
Download a complimentary PDF of the Guidebook in Chinese
Complimentary Hardcopy offer - Chinese Version
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.
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.
October 2008
Mid-market M&A in Russia Roundtable Discussion
Author(s):
mergermarket
Overview:
Bowne Virtual Dataroom is pleased to present the Mid-market M&A in Russia Roundtable Discussion report. Gain insight on mid-market trends, top deals, tax/legal issues and more from key stakeholders at the forefront of Russian M&A.
Download English Version
Download Russian Version
September 2008
M&A Podcast: Infrastructure
Author(s):
mergermarket
Overview:
In this edition four leading dealmakers from across the globe discuss M&A and investment prospects in the Infrastructure sector.
July 2008
Inside the Consumer Sector
Author(s):
mergermarket
Overview:
Bowne Virtual Dataroom is proud to sponsor the second in a series of M&A podcasts with mergermarket. The aim of these podcasts is to share the deal making expertise of leading M&A advisory experts.
June 2008
Inside the Media Sector
Author(s):
mergermarket
Overview:
Bowne Virtual Dataroom is proud to sponsor the second in a series of M&A podcasts with mergermarket. The aim of these podcasts is to share the deal making expertise of leading M&A advisory experts.
June 2008
Dataroom Whitepaper: Best Practices for Online Due Diligence
Author(s):
Bowne & Co., Inc.
Overview:
Download a comprehensive overview of the Best Practices for Online Due Diligence, and how to choose your VDR partner.
June 2008
Global Cross-Border M&A Forecast
Author(s):
mergermarket
Overview:
Bowne Virtual Dataroom is pleased to present this report by mergermarket. Dealmakers in Europe and North America were interviewed for their perspective on the current economic conditions and the impact on cross-border activity in the coming year, both for strategic and financial buyers.
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.
March 2009
European Private Equity in Review
Author(s):
mergermarket
Overview:
Bowne is pleased to present the full year 2008 edition of 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 analysis of buyout and exit trends for the full year 2008.
March 2009
North American Private Equity in Review
Author(s):
mergermarket
Overview:
Bowne is pleased to present the full year 2008 edition of 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 analysis of buyout and exit trends for the full year 2008.
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.
July 2009
Business Case for Automated External Reporting
Author(s):
Bowne & Co., Inc.
Overview:
This Bowne Whitepaper examines the impact of deploying an Automated External Reporting solution on cost reduction and risk mitigation. A must-read guide to building the business case for Automated External Reporting.
April 2009
Mergers and Acquisitions in Canada First Edition
Author(s):
Patricia M. Johnston LL.B., Q.C.
Overview:
A valuable resource that walks the reader through the M & A process in Canada.
March 2008
Going Public in Canada
Author(s):
Patricia M. Johnston LL.B., Q.C.
Overview:
An overview of the Initial Public Offering (IPO) process in Canada.
March 2008
Raising Capital in Canada
Author(s):
Patricia M. Johnston LL.B., Q.C.
Overview:
Discusses a number of mechanisms by which an issuer can raise funds, either while it is still private or after it has gone public.
March 2008
Reporting Issuer Obligations in Canada
Author(s):
Patricia M. Johnston LL.B., Q.C.
Overview:
Summary of the main timely and continuous disclosure requirements in Canada.
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.
December 2009
2010 EDGAR/SEDAR Calendar & Schedules
Firm:
Bowne & Co., Inc.
Overview:
A full-color, complimentary calendar featuring 2010 EDGAR & SEDAR filing deadlines, holidays and regulatory peak periods. The calendar will be useful throughout the year as you plan for and execute your 2010 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.
October 2009
Webcast: Proxy Season Preparation - Not Business as Usual
Speakers: Jonathan G. Katz, Former Secretary United States Securities & Exchange Commission, Bruce H. Goldfarb, President & Chief Executive Office, Okapi Partners, and Bridget E. Hughes, Director of Products & Services, Bowne & Co.
Overview:
Recent SEC proposals and legislative initiatives are making the 2010 proxy season more challenging than ever.
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.
January 2010
2010 Annual Meeting
Handbook
Author(s):
Joshua Ford Bonnie - Partner, Vincent Pagano Jr. - Partner & LeAnn S. Leutner - Associate
Firm:
Simpson Thacher & Bartlett LLP
Overview:
The 2010 Annual Meeting Handbook: A Practical Guide for Directors and Executives 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.
October 2008
S.E.C. Division of Enforcement Manual
Author(s):
Securities and Exchange Commission
Overview:
On October 6, 2008 the U.S. Securities and Exchange Commission posted on its website an operating manual for its Division of Enforcement. This represents the first time, since the creation of the Division of Enforcement in 1971, that the SEC has published a single document containing the internal policies and procedures that SEC staff follow when conducting investigations.
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.
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.
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.
March 2010
Webcast - XBRL is here; are you ready? Preparing for Detail Tagging
Author(s):
Panelists - Marc Groshen, Vice President, SEC Reporting, JP Morgan Chase; Edwin M. Jenkins, Managing Director, Public & SEC Reporting, JP Morgan Chase; and Rob Blake, Senior Director of Interactive Services, Bowne & Company
Overview:
Making the transition from XBRL level one block tagging to level four detail tagging will be significant. Do you have the resources in place?
Listen to our panelists discuss year two of the SEC mandate; provide guidance on the preparation, validation and submission of level four detail XBRL tagging; and explore the implications of the heightened requirements on your external reporting team.
March 2010
Webcast - XBRL is here; are you ready? First Time Preparers
Author(s):
Panelists - Michael Hahn, Manager of Financial Reporting and Analysis, ITT Corporation; Paul Penler, Executive Director, Ernst & Young; and Rob Blake, Senior Director of Interactive Services, Bowne & Company
Overview:
Large Accelerated Filers with a market-cap below $5B are required to begin furnishing XBRL exhibits to the SEC after June 15, 2010. Everyone else begins after June 15, 2011. Are you prepared?
Listen as our panelists discuss the SEC requirements; provide guidance on the preparation, validation and submission of XBRL data; and explore the implications of the mandate on your external reporting team.
October 2009
XBRL Case Study: Preparation Pays Off in Flawless XBRL Filing
Overview:
Analog Devices, a semiconductor manufacturer based in Norwood, MA, is a Large Accelerated Filer with a public float of greater than $5B. This subjected them to first phase of the Securities and Exchange Commissions XBRL mandate. Read about the challenges they faced and the decisions they made in order comply.
February 2009
XBRL Final Mandate for Operating Companies - Plain English Summary
Author(s):
Robert Blake
Overview:
Our “Plain English” summary of the SEC's XBRL Final Mandate for Operating Companies highlights key points that will help you quickly understand the impact of the mandate on your company's XBRL requirements.
December 2008
XBRL Podcast: Summary and Review of the SEC's Mandate
Author(s):
Robert Blake
Firm:
Bowne & Co., Inc.
Overview:
On December 17, 2008 the Securities and Exchange Commission finalized the amendment requiring companies and mutual funds to file financial disclosures in XBRL.
June 2008
XBRL 101 Webcast: Getting ready for the SEC Mandate on XBRL for Mutual Funds
Overview:
A webcast discussing the proposed rules regarding a Mutual Funds XBRL mandate effective December 31, 2009.
May 2008
Don't Panic! A Webcast on XBRL & Preparing for the SEC Mandate
Author(s):
Ted F. Uehlinger, Wayne Boston, and Rob Blake
Overview:
A webcast of a discussion on the proposed rules regarding an XBRL mandate effective December 15, 2008.
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.
Download English version
Download Simplified Chinese version
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.
September 2009
Financial Reporting Benchmark Study
Author(s):
Beacon Consulting Group
Overview:
Reporting schedules create workload imbalances throughout the year. The cyclical nature of report production highlights the need to optimize processing efficiency and shrink the delivery times inherent within the reporting cycle.
Read this insightful study that delves into the various steps in the production process, determines the amount of time and effort being spent on each step, and maps out how you can drive continuous improvement efforts in this critical function.
September 2009
The Case for Automated Composition of Reports
Author(s):
Beacon Consulting Group
Overview:
This comprehensive Whitepaper examines the time, cost and impact of a manual versus automated generation of Financial Report proofs and final documents. It is a must-read guide to building the business case for the Automated Composition of Reports.
August 2009
Summary Prospectus Webcast - A case study of the first company to file a 497K.
Author(s):
Gary Young, Diamond Hill Funds, Michael V. Wible, Thompson Hine LLP, Jeff Phillips, Bowne Investment Management Services, Josiah Fisk, Firehouse Financial Communications LLC.
Overview:
Diamond Hill Funds was the first company to introduce and file Summary Prospectus. In the process leading up to filing date, they made practical decisions to complete their Summaries successfully and start saving money on disclosure.
July 2009
A Case Study: Doing More With Less - The Summary Prospectus
Author(s):
Gary Young, Diamond Hill Funds, Michael V. Wible, Thompson Hine LLP.
Overview:
Diamond Hill Funds was the first company to introduce and file a 497K. This insightful Case Study maps out key issues the company faced as they adopted the Summary Prospectus and the steps to their success.
May 2009
Summary Strategies
Author(s):
Firehouse Financial Communications
Overview:
A must-read guide on how to implement the Summary Prospectus and maximize both savings and benefits.
March 2009
Dechert OnPoint: SEC Adopts "Summary Prospectus" Rule
Author(s):
Dechert, LLP
Overview:
This timely legal update from the Dechert Financial Services Group provides an overview of the Summary Prospectus rule and related amendments designed to enhance Mutual Fund prospectus disclosure and delivery. The update includes observations on the multiple fund prospectus and online presentation.
March 2009
Summary Prospectus Rule Synopsis
Author(s):
Bowne & Co., Inc.
Overview:
Our Summary Prospectus Rule Synopsis summarizes the SEC's Summary Prospectus Final Rule in 6 easy-to-read pages to help you quickly understand the impact of the mandate.
