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Securities Offerings 2015: A Public Offering: How It Is Done

Chair(s): LizabethAnn R. Eisen

Practice Area: Corporate law, Securities and other financial products

Published: Mar 2015 i Other versions can be found in the Related Items tab.
ISBN: 9781402424113
PLI Item #: 58767
CHB Spine #: B2158

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. The Statutory Arrangement for Public and Private Securities Offerings Under the Securities Act of 1933
Chapter 2. Filing Review Process
Chapter 3. Securities Act Rules (October 2, 2014)
Chapter 4. Revised Statement on Well-Known Seasoned Issuer Waivers (April 24, 2014)
Chapter 5. Preparing for Success: 2014 IPO SEC Comment Letter Trends: Technology
Chapter 6. Stay Informed: 2014 SEC Comment Letter and Disclosure Trends: Energy and Mining
Chapter 7. Stay Informed: 2014 SEC Comment Letter Trends: Industrial Products
Chapter 8. Stay Informed: 2014 SEC Comment Letter Trends: Financial Services
Chapter 9. SEC Guidance Regarding Management’s Discussion and Analysis of Financial Condition and Results of Operations (January 16, 2015)
Chapter 10. Use of Non-GAAP Financial Measures: An Overview (January 16, 2015)
Chapter 11. Non-GAAP Financial Measures (July 8, 2011)
Chapter 12. Interpretation: Commission Guidance Regarding Management’s Discussion and Analysis of Financial Condition and Results of Operations
Chapter 13. Letter to the SEC Commenting on Disclosure Effectiveness (November 26, 2014)
Chapter 14. Underwriting Arrangements and Documents
Chapter 15. Appendix A: Underwriting Agreement
Chapter 16. Appendix B: Agreement Among Underwriters
Chapter 17. Appendix C: Master Agreement Among Underwriters
Chapter 18. Appendix D: Selected Dealer Agreement
Chapter 19. Appendix E: Invitation
Chapter 20. Appendix F: Underwriters’ Questionnaire
Chapter 21. Appendix G: Power of Attorney
Chapter 22. Confidential Treatment Requests (CTRs) (PowerPoint slides)
Chapter 23. FINRA Fines 10 Firms a Total of $43.5 Million for Allowing Equity Research Analysts to Solicit Investment Banking Business and for Offering Favorable Research Coverage in Connection with Toys “R” Us IPO
Index

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