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Securities Law and Practice 2018: How the SEC Works

Chair(s): Clifford E. Kirsch

Practice Area: Regulation and compliance (Securities and other financial products), Securities and other financial products

Published: Oct 2018 i Other versions can be found in the Related Items tab.
ISBN: 9781402432453
PLI Item #: 220418
CHB Spine #: B2440

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Approaching Securities Law
Chapter 2. The Laws That Govern the Securities Industry
Chapter 3. Researching the Federal Securities Laws Through the SEC Website
Chapter 4. Harry S. Pangas, Overview of the Registration Provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 (August 2017)
Chapter 5. Bruce M. Bettigole, Harry S. Pangas and Payam Siadatpour, Legal Alert: Supreme Court Decision Imposes Strict Filing Deadline on Civil Actions Related to Securities Offerings (August 25, 2017)
Chapter 6. Harry S. Pangas and J. Clay Douglas, Foreign Private Issuers (“FPIs”): Reporting Requirements and Other Select Items (August 2017) (PowerPoint slides)
Chapter 7. Regulatory Framework of Securities Act Registration
Chapter 8. Registration and Periodic Reporting Under the Exchange Act
Chapter 9. SEC—What We Do
Chapter 10. Non-GAAP Financial Measures: The SEC’s Evolving Views (June 13, 2016)
Chapter 11. Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer, 17 CFR Part 205
Chapter 12. Appearing and Practicing Before the SEC: Ethical Considerations for Corporate Counsel
Index

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