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Understanding the Securities Laws 2007
Chair(s):
Mark L. Reinstra, Mark D. Wood, Gerald Adler, Gary M. Brown, N. Adele Hogan
Practice Area:
Corporate & Securities, Litigation
Published:
Sep 2007
ISBN:
9781402409394
PLI Item #:
10973
CHB Spine #:
B1618
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Table of Contents
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Front Matter
Table of Contents
Chapter 1. Approaching Securities Law
Chapter 2. Regulatory Framework of Securities Act Registration
Chapter 3. Reach of Securities Act Regulation
Chapter 4. Understanding the Securities Laws 2007
Chapter 5. Remarks at the SEC Open Meeting, Management Guidance on Internal Control Over Financial Reporting; Speech by SEC Commissioner Roel C. Campos (May 23, 2007)
Chapter 6. Remarks at the SEC Open Meeting, Proposed Rules Regarding Smaller Companies; Speech by SEC Commissioner Roel C. Campos (May 23, 2007)
Chapter 7. SEC’s Proposed Interpretive Guidance to Management for Section 404 of Sarbanes-Oxley Act; Statement by SEC Staff, John W. White, Director, Division of Corporation Finance (May 23, 2007)
Chapter 8. SEC Adds Software Tool for Investors Seeking Information on Companies’ Activities in Countries Known to Sponsor Terrorism; SEC Press Release 2007-121 (June 25, 2007)
Chapter 9. Exemptions from Registration Under the Securities Act of 1933
Chapter 10. Securities Act Registration Exemptions
Chapter 11. Securities Act Registration Exemptions
Chapter 12. Resales of “Restricted” and “Control” Securities
Chapter 13. Commission Revises Disclosure Rules for Equity Awards, Shearman & Sterling LLP Client Publication, January 2007
Chapter 14. Commission Overhauls Executive Compensation Disclosure Rules, Shearman & Sterling LLP Client Publication, August 2006
Chapter 15. 2007 Proxy Season: Executive Compensation Roundup
Chapter 16. Remarks Before the 2007 Summit on Executive Compensation; Speech by SEC Commissioner Roel C. Campos, Dated January 23, 2007
Chapter 17. Periodic and Other Reporting Obligations Under the Securities Exchange Act of 1934
Chapter 18. Regulation of Proxy Solicitation
Chapter 19. Whistleblower Claims Under the Sarbanes-Oxley Act of 2002
Chapter 20. Ethical and Legal Considerations for Securities Lawyers
Chapter 21. Ethical and Legal Considerations for Securities Lawyers
Chapter 22. Liability for Securities Law Violations
Chapter 23. Securities Law Implications of Mergers and Acquisitions
Chapter 24. Letter to the Director of the SEC: Securities Act of 1933 – Private Offering Reform; New York City Bar, Committees on Financial Reporting and Securities Regulation (April 26, 2007)
Chapter 25. Comment Letter: Securities Act of 1933 – Private Offering Reform; American Bar Association, Section of Business Law, Committee on Federal Regulation of Securities (March 22, 2007)
Chapter 26. SEC Litigation Release No. 20086 (April 24, 2007)
Chapter 27. SEC Litigation Release No. 19964 & Accounting and Auditing Release No. 2537 (January 10, 2007)
Chapter 28. Introduction to Securities Law (PowerPoint)
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