New Feature: Search Alerts are available now.
Learn more
.
Skip to main content
Create Account
About PLI PLUS
Help
Contact Us
Questions? Comments?
Contact us.
Email:
PLUS@pli.edu
Phone:
877.900.5291
PLI.edu
SIGN IN
Search
Browse
All Content
Books
- Answer Books
- Course Handbooks
- Journals
- Treatises
Forms
Transcripts
My Bookshelf
My History
< Back To Results
1 in 10885 results
Previous Result
Next Result
Understanding the Securities Laws Summer 2015
Chair(s):
N. Adele Hogan
Practice Area:
Corporate & Securities, Professional Skills
Published:
Jul 2015
ISBN:
9781402425035
PLI Item #:
58958
CHB Spine #:
B2189
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. Gary M. Brown, Approaching Securities Law, Ch. 1, Securities Law and Practice Deskbook (6th Edition) (April 2014)
Chapter 2. About the Division of Corporation Finance (June 5, 2012)
Chapter 3. Division of Corporation Finance, Filing Review Process (April 1, 2015)
Chapter 4. Division of Corporation Finance, Overview of the Legal, Regulatory and Capital Markets Offices (March 2014)
Chapter 5. Anna T. Pinedo and James R. Tanenbaum, Private Placements—An Overview, Ch. 2, Exempt and Hybrid Securities Offerings (2nd Edition) (November 2014)
Chapter 6. FINRA, Regulatory Notice 12-40: SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities (September 2012)
Chapter 7. Morrison & Foerster LLP, News Bulletin, SEC Adopts New FINRA Rule 5123 on Private Placements (June 15, 2012)
Chapter 8. Morrison & Foerster LLP, Client Alert, Regulation A+: Final Rules Offer Important Capital Raising Alternatives (March 26, 2015)
Chapter 9. Morrison & Foerster LLP, Client Alert, Recommendations of the SEC’s Investment Advisory Committee Regarding Crowdfunding Rules (April 22, 2014)
Chapter 10. Lloyd S. Harmetz and Nilene R. Evans, Morrison & Foerster LLP, Frequently Asked Questions About Rule 144A
Chapter 11. Ze’-ev D. Eiger and Lloyd S. Harmetz, Morrison & Foerster LLP, Frequently Asked Questions About Regulation S
Chapter 12. Ze’-ev D. Eiger, Nilene R. Evans, David M. Lynn, Anna T. Pinedo, JOBS Act Quick Start: A Brief Overview of the JOBS Act, 2014 Update, International Financial Law Review, Chapter 4: Private Offerings
Chapter 13. Morrison & Foerster LLP, Matchmaking Basics: How it Works, Current Regulations and Key Considerations
Chapter 14. Bradley Berman and Ze’-ev D. Eiger, Considerations for Foreign Banks Financing in the United States, 2014 Update, International Financial Law Review, Chapter 5: Mechanics of a Rule 144A/Regulation S Offering
Chapter 15. FINRA, Regulatory Notice 10-22, Regulation D Offerings, Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings (April 2010)
Chapter 16. The Integrated Disclosure System, Registration and Periodic Reports Under the Securities Exchange Act of 1934
Chapter 17. Liability for Securities Law Violations (Substantive Outline)
Chapter 18. Paul Hastings, Stay Current, Client Alert, Second Circuit Endorses SEC’s Expansive View of Insider Trader (July 2009)
Chapter 19. Paul Hastings, Stay Current, Client Alert, The Supreme Court Limits the Scope of the Federal Criminal “Honest Services Fraud” Statute to Conduct Involving Bribes or Kickbacks (June 2010)
Chapter 20. Paul Hastings, Stay Current, Client Alert, District Court Holds That Rule 10b-5 Insider Trading Provisions Apply to Credit Default Swap (CDS) Contracts (July 2010)
Chapter 21. Paul Hastings, Stay Current, Client Alert, In Narrowly Tailored Opinion, Supreme Court Finds “Loss Causation” Not Required at Class Certification Stage (June 2011)
Chapter 22. Francis C. Marinelli, “Insiders” and “Affiliates”—Section 16, Resales and Other Securities Law (Substantive Outline)
Chapter 23. Simpson Thacher, Memorandum, SEC Charges 34 Insiders, Shareholders and Public Companies with Delinquencies in Reporting Stock Holdings and Trades (September 22, 2014)
Chapter 24. Simpson Thacher, Memorandum, SEC Charges Eight Insiders For Failing to Update Stock Ownership Disclosures (April 3, 2015)
Chapter 25. Regulation of Proxy Solicitation (Substantive Outline) (May 2015)
Chapter 26. Shearman & Sterling LLP, Client Publication, ISS Publishes FAQs on Equity Plan Scorecard (January 12, 2015)
Chapter 27. Shearman & Sterling LLP, Client Publication, SEC Proposes Equity Hedging Disclosure Rules Under Dodd Frank (February 19, 2015)
Chapter 28. Shearman & Sterling LLP, Client Publication, SEC Proposes Long-Awaited Pay for Performance Rules (May 4, 2015)
Chapter 29. Fairness Opinions (Substantive Outline)
Chapter 30. Cleary Gottlieb, Alert Memorandum, In Omnicare, Supreme Court Clarifies the Scope of Liability for Statements of Opinion Under Section 11 of the Securities Act of 1933 (April 3, 2015)
Chapter 31. Savaria B. Harris and 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-frank-sox-what-companies-should-be-thinking
Chapter 32. DLA Piper, Litigation Alert (US), White Collar Crime Update, Higher Burdens in SOX Whistleblower Retaliation Claims—5 Tips for Employers (December 10, 2014)
Chapter 33. U.S. Securities and Exchange Commission, Press Release 2015-51, SEC Charges New York-Based Brokerage Firm With Faculty Underwriting of Public Offering by China-Based Company (March 27, 2015)
Chapter 34. U.S. Securities and Exchange Commission, Press Release 2015-54, SEC: Companies Cannot Stifle Whistleblowers in Confidentiality Agreements, Agency Announces First Whistleblower Protection Case Involving Restrictive Language (April 1, 2015)
Chapter 35. U.S. Securities and Exchange Commission, Press Release 2015-73, SEC Announces Million-Dollar Whistleblower Award to Compliance Officer (April 22, 2015)
Chapter 36. U.S. Securities and Exchange Commission, Press Release 2015-75, SEC Announces Award to Whistleblower in First Retaliation Case (April 28, 2015)
Chapter 37. Recordkeeping and Internal Controls Provisions, Section 13(b) of the Securities Exchange Act of 1934 [15 U.S.C. §78m] § 13. Periodical and Other Reports
Chapter 38. SEC Rules Relating to Recordkeeping, 17 CFR §§ 240.13b2-1 and 13b2-2, Falsification of Accounting Records; Representations and Conduct in Connection with the Preparation of Required Reports and Documents
Chapter 39. Anti-Bribery Provision, §30A of the Securities Exchange Act of 1934 [15 U.S.C. §78dd-1] §30A—Prohibited Foreign Trade Practices by Issuers
Chapter 40. U.S. Securities and Exchange Commission, Press Release 2014-229, SEC Charges New York-Based High Frequency Trading Firm With Fraudulent Trading to Manipulate Closing Prices, First High Frequency Trading Manipulation Case (October 16, 2014)
Chapter 41. U.S. Securities and Exchange Commission, Press Release 2014-285, SEC Charges Avon With FCPA Violations, Avon Entities to Pay $135 Million to Settle SEC and Criminal Cases (December 17, 2014)
Chapter 42. U.S. Securities and Exchange Commission, Press Release 2015-82, SEC Approves Pilot to Assess Tick Size Impact for Smaller Companies (May 6, 2015)
Chapter 43. “A” is for Approved: SEC Finalizes Regulation A+ the Small Offering Exemption
Chapter 44. Keys to Surviving Your First IPO (April 23, 2015)
Chapter 45. Financial Services Law Newsletter, Top 5 Issues in Consumer P2P Law and Regulation (April 9, 2015)
Index
About Us
