PLI PLUS Title Details

Skip to main content

Create Account
Training Center
Contact Us

Questions? Comments?
Contact us.

Email: PLUS@pli.edu
Phone: 877.900.5291
PLI.edu
SIGN IN

Search
Browse
My Bookshelf
My History

< Back To Results

1 in 11756 results

Previous Result
Next Result

Book Cover Image

Understanding the Securities Laws 2018

Chair(s): N. Adele Hogan, Mark D. Wood, Gary M. Brown

Practice Area: Regulation and compliance (Securities and other financial products), Securities and other financial products

Published: Jul 2018 i Other versions can be found in the Related Items tab.
ISBN: 9781402432057
PLI Item #: 221222
CHB Spine #: B2424

This version is not current.
Click here for the most recent version.

Email
Print
Add To Bookshelf
Permalink

Table of Contents
Related Items

Select All

Front Matter
Faculty Bios
Table of Contents
Chapter 1. Chapter 1: Approaching Securities Law, Practising Law Institute, Securities Law and Practice Deskbook (6th Edition)
Chapter 2. Chapter 3: Regulatory Framework of Securities Act Registration, Practising Law Institute, Securities Law and Practice Deskbook (6th Edition)
Chapter 3. Chapter 5: Reach of Securities Act Regulation, Practising Law Institute, Securities Law and Practice Deskbook (6th Edition)
Chapter 4. Chapter 9: Registration and Periodic Reporting Under the Exchange Act, Practising Law Institute, Securities Law and Practice Deskbook (6th Edition)
Chapter 5. Registering Securities Under the Securities Act of 1933 (April 2018)
Chapter 6. Mayer Brown LLP, Deciding Among Exempt Offering Alternatives (Chart)
Chapter 7. Mayer Brown LLP, Investor Status
Chapter 8. Anna T. Pinedo and James R. Tanenbaum, Ch. 2: Private Placements—An Overview, Practising Law Institute, Exempt and Hybrid Securities Offerings (3rd Edition)
Chapter 9. Anna T. Pinedo and James R. Tanenbaum, Ch. 3: Rule 506 Offerings, Practising Law Institute, Exempt and Hybrid Securities Offerings (3rd Edition)
Chapter 10. Anna T. Pinedo and James R. Tanenbaum, Securities Offerings and Communications: Is the Integration Bogeyman Dead?
Chapter 11. Securities Act Exemptions
Chapter 12. Periodic and Other Reporting Obligations Under the Securities Exchange Act of 1934 (April 2018)
Chapter 13. Sidley Austin LLP, SEC Issues New Guidance on Cybersecurity Disclosure Requirements (March 2, 2018)
Chapter 14. Douglas Koff, Kelly Koscuiszka, and Jacqueline Srour, Liability for Securities Law Violations (Substantive Outline) (May 2, 2018)
Chapter 15. Dangerous Liaisons: Collective Scienter in SEC Enforcement Actions, 6 N.Y.U. J. L. & Bus.1 (Fall 2009)
Chapter 16. Bradley J. Bondi and Steven D. Lofchie, The Law of Insider Trading: Legal Theories, Common Defenses, and Best Practices for Ensuring Compliance, 8 N.Y.U. J. L. & Bus.151 (Fall 2011)
Chapter 17. Cahill Gordon & Reindel LLP, SEC Proposes Broad Clawback Rules for Executive Compensation (July 10, 2015)
Chapter 18. Cahill Gordon & Reindel LLP, SEC Settles with CEO for Failure to Disclose Executive Perks to Shareholders (June 2, 2017)
Chapter 19. “Section 16 Insiders—Reporting and Liability”—Overview of Section 16 of the Exchange Act
Chapter 20. Section 16, Clawbacks and Other Disgorgement Under the Federal Securities Laws (May 2, 2018)
Chapter 21. Regulation of Proxy Solicitation (May 2018)
Chapter 22. Effectively Telling Your Executive Compensation Story as an Activist Defensive Measure (May 2, 2018)
Chapter 23. Christopher M. Hayden and Anne C. Meyer, Practical Considerations for Your First Annual Meeting (April 2018)
Chapter 24. Securities Law Aspects of Mergers, Acquisitions, and Other Corporate Transactions (Substantive Outline) (April 2018)
Chapter 25. Securities Law Aspects of Mergers, Acquisitions, and Other Corporate Transactions (New York PowerPoint slides)
Chapter 26. Craig T. Alcorn and Hagen J. Ganem, Securities Law Aspects of Mergers, Acquisitions and Other Corporate Transactions (Article) (May 2, 2018)
Chapter 27. Cleary Gottlieb Steen & Hamilton LLP, Alert Memorandum, Spotify’s Direct Listing—A Look Under the Hood (April 17, 2018)
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. U.S. Securities and Exchange Commission, Public Statement, SEC Chairman Jay Clayton, Statement on Cryptocurrencies and Initial Coin Offerings (December 11, 2017)
Chapter 30. U.S. Securities and Exchange Commission, Public Statement, Divisions of Enforcement and Trading and Markets, Statement on Potentially Unlawful Online Platforms for Trading Digital Assets (March 7, 2018)
Chapter 31. 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 the Matter of Panasonic Corporation, Securities Exchange Act Release No. 83128, Accounting and Auditing Enforcement Release No. 3938, Administrative Proceeding File No. 3-18459 (SEC April 30, 2018)
Chapter 32. Department of the Treasury, Office of Foreign Assets Control (OFAC), Risk Factors for OFAC Compliance in the Securities Industry (Updated November 5, 2008)
Index

About Us

All Contents Copyright © 1996-2021 Practising Law Institute. About PLI PLUS PLI Librarian Blog PLI PLUS app Privacy Policy Terms Of Use
Continuing Legal Education since 1933.