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Understanding the Securities Laws Summer 2014
Chair(s):
N. Adele Hogan
Practice Area:
Corporate & Securities
Published:
Jul 2014
ISBN:
9781402422690
PLI Item #:
49291
CHB Spine #:
B2116
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Gary M. Brown, Regulatory Framework of Securities Act Registration, Ch. 3, Securities Law and Practice Deskbook (6th Edition) (April 2014)
Chapter 2. Keith F. Higgins, Director, SEC Division of Corporation Finance, Statement of the Division of Corporation Finance on the Conflict Minerals Decision (April 29, 2014)
Chapter 3. U.S. Securities and Exchange Commission, Compliance and Disclosure Interpretations, Securities Act Rules (Last Update: April 21, 2014)
Chapter 4. U.S. Securities and Exchange Commission, Compliance and Disclosure Interpretations, Regulation S-K (Last Update: May 17, 2013)
Chapter 5. U.S. Securities and Exchange Commission, Compliance and Disclosure Interpretations, Exchange Act Form 8-K (Last Update: May 16, 2013)
Chapter 6. Cleary Gottlieb Steen & Hamilton LLP, Alert Memorandum, Private Offerings: Practical Implications of the SEC’s New and Proposed Rules (September 3, 2013)
Chapter 7. Rule 144A and Regulation S Under the Securities Act of 1933
Chapter 8. High Yield Debt Standard Covenants
Chapter 9. Securities Law Aspects of Equity-Based Compensation For Private Companies—Exemption Under Rule 701
Chapter 10. Securities Act Exemptions/Private Placements (May 2014) (PowerPoint slides)
Chapter 11. The Integrated Disclosure System, Registration and Periodic Reports Under the Securities Exchange Act of 1934
Chapter 12. Liability for Securities Law Violations
Chapter 13. Appendix
Chapter 14. Francis C. Marinelli, “Insiders” and “Affiliates”—Section 16, Resales and Other Securities Law (Substantive Outline)
Chapter 15. Regulation of Proxy Solicitation (Substantive Outline) (May 2014)
Chapter 16. Executive and Director Compensation Disclosure (Substantive Outline) (May 2014)
Chapter 17. Shearman & Sterling LLP, Client Publication, Nasdaq Proposes Modifications to Compensation Committee Independence Requirements (December 9, 2013)
Chapter 18. Shearman & Sterling LLP, Client Publication, SEC Proposes Long-Awaited Pay Ratio Rules (September 24, 2013)
Chapter 19. Shearman & Sterling LLP, Client Publication, SEC Approves NYSE and Nasdaq Listing Standards For Compensation Committees and Their Advisors (January 29, 2013)
Chapter 20. U.S. Securities and Exchange Commission, Press Release 2014-87, SEC Charges NYSE, NYSE ARCA, and NYSE MKT for Repeated Failures to Operate in Accordance With Exchange Rules (May 1, 2014)
Chapter 21. U.S. Securities and Exchange Commission, Enforcement Cooperation Program (March 21, 2014)
Chapter 22. The Association of the Bar of the City of New York Committee on Professional Ethics, Formal Opinion 2013-1, Duties to Prospective Clients After Beauty Contests and Other Preliminary Meetings
Chapter 23. The Association of the Bar of the City of New York Committee on Professional Ethics, Formal Opinion 2013-2
Chapter 24. The Association of the Bar of the City of New York Committee on Professional Ethics, Formal Opinion 2012-2, Jury Research and Social Media
Chapter 25. The Association of the Bar of the City of New York Committee on Professional Ethics, Formal Opinion 2012-1, Obligations Upon Receiving a Document Not Intended For the Recipient
Chapter 26. The Association of the Bar of the City of New York Committee on Professional Ethics, Formal Opinion 2010-2, Obtaining Evidence From Social Networking Websites
Chapter 27. U.S. Securities and Exchange Commission, Market Structure (March 20, 2014)
Chapter 28. Ethics: Selected Materials, Selected Excerpts from the New York State Rules of Professional Responsibility—Effective April 1, 2009 and as Amended Through May 1, 2014
Chapter 29. Pepper Hamilton LLP, Crowdfunding and Peer-to-Peer Lending, Top 5 Things You Should Know About Online Direct (P2P) Lending Law and Regulations—Before You Do Anything Else! (May 2014)
Chapter 30. Pepper Hamilton LLP, Corporate and Securities Law Alert, Hut, Hut, Hike! Investors Buying Stock in NFL Player Through First Fantex IPO (April 28, 2014)
Chapter 31. Pepper Hamilton LLP, Client Alert, No Easy A: SEC Proposes Rules for Regulation A+ (December 20, 2013)
Chapter 32. Pepper Hamilton LLP, Publication, Business Forum: Overseas Firms Look to U.S. for IPOs (December 2, 2013)
Chapter 33. Pepper Hamilton LLP, Client Alert, FINRA: Funding Portals, Start Your Engines! (October 25, 2013)
Chapter 34. Pepper Hamilton LLP, Client Alert, SEC Proposes Crowdfunding Rules (October 24, 2013)
Chapter 35. Pepper Hamilton LLP, Client Alert, Don’t Short Before the Deal, SEC Reminds Hedge Funds and Buyside Firms (September 19, 2013)
Chapter 36. Brian S. Korn & David P. Russo, Resales of Restricted and Control Securities Under Rule 144, The Review of Securities & Commodities Regulation, Vol. 46, No.16, (September 18, 2013)
Chapter 37. Pepper Hamilton LLP, JOBS Act Client Alert, SEC Gets Tough on Bad Actors (September 11, 2013)
Chapter 38. Pepper Hamilton LLP, Corporate and Securities Law Alert, SEC Relaxes Ban on Advertising and Solicitation for Private Placements to Accredited Investors (July 17, 2013)
Chapter 39. Pepper Hamilton LLP, Client Alert, Supreme Court Rules DOMA Unconstitutional—Securities Law and Corporate Finance Implications (June 28, 2013)
Chapter 40. Ethics and Professionalism in Securities Laws (July 24, 2014) (PowerPoint slides)
Chapter 41. Selected Blog Posts
Chapter 42. Structuring and Selling Structured Products, Ch. 42E, Broker-Dealer Regulation (Clifford E. Kirsch, ed.) (August 1, 2013)
Chapter 43. Lloyd S. Harmetz, Morrison & Foerster LLP, Frequently Asked Questions About Medium-Term Note Programs
Chapter 44. Anna T. Pinedo & James R. Tanenbaum, Morrison & Foerster LLP, Frequently Asked Questions About PIPEs
Chapter 45. Anna T. Pinedo & James R. Tanenbaum, Morrison & Foerster LLP, Frequently Asked Questions About Registered Direct Offerings
Chapter 46. Ze’-ev D. Eiger & Michael J. Rosenberg, Morrison & Foerster LLP, Frequently Asked Questions About Bought Deals and Block Trades
Chapter 47. Securities Law Aspects of Mergers, Acquisitions, and Other Corporate Transactions (Substantive Outline)
Chapter 48. U.S. Securities and Exchange Commission, Division of Corporation Finance, CF Disclosure Guidance: Topic No. 2, Cybersecurity (October 13, 2011)
Chapter 49. U.S. Securities and Exchange Commission, Fact Sheet, Eliminating the Prohibition on General Solicitation and General Advertising in Certain Offerings, SEC Open Meeting (July 10, 2013)
Index
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