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Understanding the Securities Laws Fall 2015
Chair(s):
Gary M. Brown, N. Adele Hogan, Mark D. Wood
Practice Area:
Corporate & Securities
Published:
Dec 2015
ISBN:
9781402425523
PLI Item #:
58979
CHB Spine #:
B2207
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Chapter 1: Approaching Securities Law, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition)
Chapter 2. Chapter 3: Regulatory Framework of Securities Act Registration, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition)
Chapter 3. Chapter 5: Reach of Securities Act Regulation, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition)
Chapter 4. Chapter 9: Registration and Periodic Reporting Under the Exchange Act, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition)
Chapter 5. Introduction to Securities Law (PowerPoint slides)
Chapter 6. Registering Securities Under the Securities Act of 1933 (Substantive Outline)
Chapter 7. Reg. S-K and Reg. S-X: The Backbones of 1933 Act and 1934 Act Filings (PowerPoint slides)
Chapter 8. Exemptions from Registration Under the Securities Act; Private Placements (Substantive Outline)
Chapter 9. Anna T. Pinedo and James R. Tanenbaum, Ch. 2: Private Placements—An Overview, Practising Law Institute, Exempt and Hybrid Securities Offerings (2nd Edition) (November 2014)
Chapter 10. Morrison & Foerster LLP, Matchmaking Basics: How It Works, Current Regulations and Key Considerations
Chapter 11. Marty Dunn, et al., Morrison & Foerster LLP, Client Alert, Regulation A+: Final Rules Offer Important Capital Raising Alternatives (March 26, 2015)
Chapter 12. Lloyd S. Harmetz, Morrison & Foerster LLP, Frequently Asked Questions About Rule 144A
Chapter 13. Ze’-ev D. Eiger and Lloyd S. Harmetz, Morrison & Foerster LLP, Frequently Asked Questions About Regulation S
Chapter 14. Sidley Austin LLP, Corporate Governance Update, SEC Adopts CEO Pay Ratio Disclosure Rule Required By Dodd-Frank (August 12, 2015)
Chapter 15. Sidley Austin LLP, Corporate Governance and Executive Compensation Update, SEC Proposes Compensation Clawback Rules (July 7, 2015)
Chapter 16. Life as a Public Company: Securities Exchange Act of 1934 Overview and Other Matters (PowerPoint slides)
Chapter 17. Periodic and Other Reporting Obligations Under the Securities Exchange Act of 1934 (July 2015)
Chapter 18. Alston & Bird LLP, Private Securities Litigation Reform Act—Major Developments and Issues
Chapter 19. William R. Baker III, et al., Latham & Watkins, Client Alert, Commentary, No. 1852, The Circuits Are Split: Are Tangible Benefits Required for Insider Trading Liability? (July 10, 2015)
Chapter 20. William R. Baker III, et al., Latham & Watkins, Client Alert, Commentary, No. 1833, SEC Enforcement Division Issues Guidance on Venue Selection (May 18, 2015)
Chapter 21. John J. Sikora Jr. & Eric R. Swibel, Latham & Watkins, Client Alert, Commentary, No. 1818, Multitudes, Multitudes: The SEC’s Asset Management Unit Delivers Important Messages for Investment Advisers (April 10, 2015)
Chapter 22. Lawrence A. West & Eric R. Swibel, Latham & Watkins, Client Alert, News Flash, No. 1815, SEC Sends Message Via Enforcement Action: Don’t Stifle Employee Whistleblowing (April 2, 2015)
Chapter 23. John J. Sikora Jr. & Nabil Sabki, Latham & Watkins, Client Alert, Commentary, No. 1773, Private Equity Fund Managers: Takeaways From The SEC’s Past Year in Enforcement (December 8, 2014)
Chapter 24. Liability for Securities Law Violations (Substantive Outline)
Chapter 25. “Insiders” and “Affiliates”—Overview of Section 16 and Section 13 of the Exchange Act and Certain Resale Considerations Under the Securities Laws (Substantive Outline)
Chapter 26. Simpson Thacher, Memorandum, SEC Charges Eight Insiders For Failing to Update Stock Ownership Disclosures (April 3, 2015)
Chapter 27. Simpson Thacher, Memorandum, SEC Charges 34 Insiders, Shareholders and Public Companies with Delinquencies in Reporting Stock Holdings and Trades (September 22, 2014)
Chapter 28. Rhonda Brauer, Chris Hayden, William Fiske & Rajeev Kumar, CFA, Georgeson Inc., 2015 Proxy Season Update (August 13, 2015)
Chapter 29. Georgeson Inc., Practical Implications of SEC Reversal on Shareholder Proposal Exclusion (January 29, 2015)
Chapter 30. Rajeev Kumar, CFA, Georgeson Inc., ISS Policy Updates (November 20, 2014)
Chapter 31. Georgeson Inc., Proxy Fight Primer (August 13, 2015)
Chapter 32. Rajeev Kumar, CFA & William Fiske, Georgeson Inc., Prepare for Shareholder Activism in 2015 (January 12, 2015)
Chapter 33. Christopher M. Hayden, Georgeson Inc., Practical Considerations for Your First Annual Meeting (July 2014)
Chapter 34. Regulation of Proxy Solicitation (Substantive Outline) (August 2015)
Chapter 35. Shearman & Sterling LLP, The SEC’s Final Pay Ratio Rules: What You Need to Know (August 10, 2015)
Chapter 36. Shearman & Sterling LLP, SEC Proposes Highly Anticipated Clawback Rules (July 9, 2015)
Chapter 37. Shearman & Sterling LLP, SEC Proposes Long-Awaited Pay for Performance Rules (May 4, 2015)
Chapter 38. Shearman & Sterling LLP, SEC Proposes Equity Hedging Disclosure Rules Under Dodd-Frank (February 19, 2015)
Chapter 39. Securities Law Aspects of Mergers, Acquisitions and Other Corporate Transactions (Substantive Outline) (August 31, 2015)
Chapter 40. Andrew R. Brownstein, Steven A. Rosenblum, David A. Katz & Sabastian V. Niles, Wachtell, Lipton, Rosen & Katz, Winning a Proxy Fight—Lessons from the DuPont-Trian Vote (May 18, 2015)
Chapter 41. Martin Lipton, Sabastian V. Niles & Sara J. Lewis, Wachtell, Lipton, Rosen & Katz, Recognition of the Threat to Shareholders and the Economy from Attacks by Activist Hedge Funds (December 22, 2014, Updated January 23, 2015)
Chapter 42. The SEC’s New Pay Ratio Disclosure Rule (August 13, 2015)
Chapter 43. Cleary Gottlieb, Alert Memorandum, S.D.N.Y. District Court Holds Trust Indenture Act Limits Ability of Issuer to Restructure Bonds of Dissenting Bondholders Outside of Bankruptcy (June 30, 2015)
Chapter 44. Savaria B. Harris & Mitka T. Baker, Dodd-Frank & SOX: What Companies Should Be Thinking About Now that Whistleblowing Has Become White Collar (February 23, 2015), available at http://www.insidecounsel.com/2015/02/23/dodd-franksox-what-companies-should-be-thinking
Chapter 45. Savaria B. Harris & Mitka T. Baker, DLA Piper, Litigation Alert (US), White Collar Crime Update, Higher Burdens in SOX Whistleblower Retaliation Claims—5 Tips for Employers (December 10, 2014)
Chapter 46. Legal Ethics: Recent Ethics Opinions (Substantive Outline)
Chapter 47. 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 48. Order Instituting Cease-and-Desist Proceedings Pursuant to Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order, In re: Kohlberg Kravis Roberts & Co., Investment Advisers Act of 1940, Release No. 4131, Administrative Proceeding File No. 3-16656 (SEC June 29, 2015)
Chapter 49. United States Office of Government Ethics, Preventing Conflicts of Interest in the Executive Branch, Laws and Regulations
Chapter 50. United States Office of Government Ethics, Preventing Conflicts of Interest in the Executive Branch, Employee Standards of Conduct
Chapter 51. 5 C.F.R. §§ 4401.101, 4401.102, 4401.103, Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Chapter 52. United States Office of Government Ethics, Preventing Conflicts of Interest in the Executive Branch, Current Government Employees
Chapter 53. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program, Volume IV, Issue 4, Cybersecurity Examination Sweep Summary (February 3, 2015)
Chapter 54. U.S. Securities and Exchange Commission, SEC Enforcement Actions: FCPA Cases
Chapter 55. Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, In re: BHP Billiton Ltd. and BHP Billiton Plc, Securities Exchange Act of 1934 Release No. 74998, Administrative Proceeding File No. 3-16546 (SEC May 20, 2015)
Chapter 56. U.S. Securities and Exchange Commission, Press Release, No. 2015-170, SEC Charges BNY Mellon With FCPA Violations (August 18, 2015)
Chapter 57. U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Investor Bulletin: The Foreign Corrupt Practices Act—Prohibition of the Payment of Bribes to Foreign Officials (October 2011)
Chapter 58. When Finders and Other Intermediaries Are Required to Register as Broker-Dealers, A Case Study in Advising Clients
Index
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