Understanding the Securities Laws Summer 2013

Front Matter
Faculty Bios
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. The Trouble With Small Tick Sizes: Larger Tick Sizes Will Bring Back Capital Formation, Jobs And Investor Confidence (September 2012)
Chapter 5. Making Stock Markets Work To Support Economic Growth: Implications For Governments, Regulators, Stock Exchanges, Corporate Issuers And Their Investors (April 2, 2013)
Chapter 6. High Yield Debt Standard Covenants
Chapter 7. Rule 144a And Regulation S Under The Securities Act Of 1933
Chapter 8. Securities Law Aspects Of Equity-based Compensation For Private Companies—Exemption Under Rule 701
Chapter 9. The Integrated Disclosure System, Registration And Periodic Reports Under The Securities Exchange Act Of 1934
Chapter 10. Liability For Securities Law Violations
Chapter 11. “Insiders And “Affilliates—Section 16, Resales And Other Securities Law
Chapter 12. Regulation Of Proxy Solicitation (May 2013)
Chapter 13. Executive And Director Compensation Disclosure (May 2013)
Chapter 14. New York Rules Of Professional Conduct (December 20, 2012)
Chapter 15. Top Labor & Employment Law Issues In 2013 (May 17, 2013)
Chapter 16. New Paradigms In Investor Liquidity: Private And “Off-market” Resales Of Securities Under Rule 144 And Beyond (July 2013)
Chapter 17. Anti-corruption Law And The Oil And Gas Industry: Evolutions In Both Demand Vigilance/ Current Fcpa Enforcement And Compliance Challenges In India (April 2013)
Chapter 18. JOBS Act Implementation Schedule
Chapter 19. Corporate And Securities Law Alert: The Trouble With Crowdfunding (April 18, 2013)
Chapter 20. Corporate And Securities Law Alert: Social Media Use By Public Companies—The SEC Weighs In/The Evolving Use Of Social Media: Protecting Your Organization (April 2013)
Chapter 21. Client Alert: Executive Order Begins Process Of Strengthening Nation’s Cybersecurity And Critical Infrastructure (February 21, 2013)
Chapter 22. Corporate And Securities Law Alert: SEC Roundtable On Decimalization Raises Many Questions, Few Answers (February 15, 2013)
Chapter 23. Corporate And Securities Law Alert: Investment Banks And Other Broker-Dealers Required To Make Private Placement Filings Under New FINRA Rule 5123 (January 14, 2013)
Chapter 24. Client Alert: Conflict Minerals: The Rule’s ‘Gray Areas’ That Will Matter In Implementation (October 26, 2012)
Chapter 25. Corporate And Securities Law Alert: If Three’s A Crowd, Thousands Are … An Investment Round? JOBS Act Presents Significant Changes To The Federal Securities Laws (March 29, 2012)
Chapter 26. Structuring And Selling Structured Products
Chapter 27. Morrison & Foerster News Bulletin: FINRA Issues Guidance On Backtested Performance Data (April 26, 2013)
Chapter 28. Morrison & Foerster News Bulletin: FINRA’s 2013 Communication Rules And Revisions To MSDAS (April 12, 2013)
Chapter 29. Morrison & Foerster News Bulletin: Additional SEC Guidance On Estimated Value Disclosures (February 28, 2013)
Chapter 30. Morrison & Foerster News Bulletin: Reverse Inquiry Transactions In The Spotlight (February 6, 2013)
Chapter 31. Securities Law Aspects Of Mergers, Acquisitions, And Other Corporate Transactions (May 2013)
Chapter 32. U.S. Securities And Exchange Commission—Jumpstart Our Business Startups Act Frequently Asked Questions: Generally Applicable Questions On Title I Of The JOBS Act (September 28, 2012; May 3, 2012; April 16, 2012)
Chapter 33. U.S. Securities And Exchange Commission—Draft Registration Statements To Be Submitted And Filed On Edgar (September 26, 2012)
Chapter 34. U.S. Securities And Exchange Commission—SEC Says Social Media Ok For Company Announcements If Investors Are Alerted (April 2, 2013)
Chapter 35. U.S. Securities And Exchange Commission—Accessing The U.S. Capital Markets—A Brief Overview For Foreign Private Issuers (February 20, 2013)
Chapter 36. U.S. Securities And Exchange Commission—Notice Required By The Iran Threat Reduction And Syria Human Rights Act Of 2012 To Be Filed Through Edgar (December 19, 2012)
Chapter 37. Introduction To The U.S. Securities Laws (PowerPoint Slides) (July 25, 2013)
Chapter 38. The Quest For Full Employment: “Decimalization” And “Tick Size” (PowerPoint Slides)
Chapter 39. Securities Act Exemptions/Private Placements (PowerPoint Slides) (May 2013)
Chapter 40. Evolving Ethics And Professionalism Requirements (PowerPoint Slides) (July 26, 2013)
Index