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Soderquist on the Securities Laws (5th Edition)

Author(s): Gary M. Brown
Practice Area: Corporate & Securities
Date: May 2006 i Previous editions(s) can be found in the Related Items tab.
ISBN: 1402407270
PLI Item #: 9946

”[Soderquist] provides insights that even the most experienced practitioner will find helpful.”
—John F. Olson, founding Partner of Gibson Dunn & Crutcher LLP’s Washington, D.C. office, and a former
Chairman of the ABA’s Committee on Federal Regulation of Securities

PLI’s Soderquist on the Securities Laws is an essential tool for securities attorneys and a vital reference for all corporate attorneys at a time when securities standards are having an increasingly powerful impact on their work for the company.

Here, in one concise volume, is authoritative and accessible insight into the Securities Act, Securities Exchange Act, SEC rules, and seminal case law, as well as the major changes wrought by the Sarbanes-Oxley Act and the 2005 securities offering reforms.

Featuring step-by-step checklists that spotlight what you should and shouldn’t do as an adviser and actor in the securities arena, Soderquist on the Securities Laws enables you to help corporate entities comply with rules governing Securities Act registration; deal effectively with Securities Act registration procedures; establish due diligence defenses and exploit exemptive relief; handle registration and reporting under the Exchange Act; and minimize liability risk under the Exchange Act.

Updated at least once a year, Soderquist on the Securities Laws should be in the working library of every securities attorney and corporate attorney and is a useful reference for the heads of corporations and securities firms and their compliance personnel.

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Gary M. Brown is the CEO of CMG Life Services Inc., a leading company in the life settlement industry.  He joined CMG after a 31-year legal career, which included advising public companies on securities and board governance.  Prior to joining CMG, he also taught securities law at the Vanderbilt University Law School and was general counsel to the Ethics and Compliance Officer Association.  While in private practice, he was recognized in both Best Lawyers in America and Chambers – America’s Leading Business Lawyers.  He is a frequent speaker and instructor at PLI events and co-chairs two of the Practising Law Institute’s national securities programs.  He also is the author of PLI’s Securities Law and Practice Deskbook and the chapter “Introduction to Life Settlements” in PLI’s treatise Financial Product Fundamentals.

During 2002, Gary was Special Counsel to the U.S. Senate’s Governmental Affairs Committee in its Enron investigation.  During 2010, he was retained by the U.S. Senate’s Permanent Subcommittee on Investigations to assist in investigating the role of investment banks in the 2008 financial crisis.  In those roles, he provided advice on the Sarbanes-Oxley Act and the Dodd-Frank Act while those pieces of legislation were being debated in the Senate.

Gary received both his B.A. and J.D. degrees from Vanderbilt University, where he also was a member of the Order of the Coif.