| Understanding the Securities Laws 2013 Table of Contents |
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| Chapter 1: Approaching Securities Law |
Gary M. Brown ~ CMG Life Services Inc.
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| Chapter 2: Regulatory Framework of Securities Act Registration |
Gary M. Brown ~ CMG Life Services Inc.
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| Chapter 3: Reach of Securities Act Regulation |
Gary M. Brown ~ CMG Life Services Inc.
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| Chapter 4: The Trouble with Small Tick Sizes: Larger Tick Sizes Will Bring Back Capital Formation, Jobs and Investor Confidence (September 2012) |
David Weild IV ~ Weild & Co. and Grant Thornton LLP
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| Chapter 5: Making Stock Markets Work to Support Economic Growth: Implications for Governments, Regulators, Stock Exchanges, Corporate Issuers and Their Investors (April 2, 2013) |
David Weild IV ~ Weild & Co.
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| Chapter 6: High Yield Debt Standard Covenants |
Lawrence G. Wee ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
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| Chapter 7: Rule 144a and Regulation S Under the Securities Act Of 1933 |
Lawrence G. Wee ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
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| Chapter 8: Securities Law Aspects of Equity-Based Compensation for Private Companies—Exemption Under Rule 701 |
Lawrence G. Wee ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
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| Chapter 9: The Integrated Disclosure System, Registration and Periodic Reports Under the Securities Exchange Act of 1934 |
Richard F. Langan Jr. ~ Nixon Peabody LLP
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| Chapter 10: Liability for Securities Law Violations |
Mary Gail Gearns ~ Bingham McCutchen LLP
Douglas Koff ~ Paul Hastings LLP
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| Chapter 11: “Insiders" and Affilliates—Section 16, Resales and Other Securities Law |
Francis C. Marinelli ~ Simpson Thacher & Bartlett LLP
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| Chapter 12: Regulation of Proxy Solicitation (May 2013) |
David Boston ~ Willkie Farr & Gallagher LLP
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| Chapter 13: Executive and Director Compensation Disclosure (May 2013) |
Linda E. Rappaport ~ Shearman & Sterling LLP
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| Chapter 14: New York Rules of Professional Conduct (December 20, 2012) |
N. Adele Hogan ~ Hogan Law Associates PLLC
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| Chapter 15: Top Labor & Employment Law Issues In 2013 (May 17, 2013) |
Paul Salvatore ~ Proskauer Rose LLP
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| Chapter 16: New Paradigms in Investor Liquidity: Private and “Off-Market” Resales of Securities Under Rule 144 and Beyond (July 2013) |
Brian Korn ~ Pepper Hamilton LLP
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| 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) |
Brian Korn ~ Pepper Hamilton LLP
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| Chapter 18: JOBS Act Implementation Schedule |
Brian Korn ~ Pepper Hamilton LLP
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| Chapter 19: Corporate and Securities Law Alert: The Trouble with Crowdfunding (April 18, 2013) |
Brian Korn ~ Pepper Hamilton LLP
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| 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) |
Brian Korn ~ Pepper Hamilton LLP
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| Chapter 21: Client Alert: Executive Order Begins Process of Strengthening Nation’s Cybersecurity and Critical Infrastructure (February 21, 2013) |
Sharon R. Klein ~ Pepper Hamilton LLP
Brian Korn ~ Pepper Hamilton LLP
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| Chapter 22: Corporate and Securities Law Alert: SEC Roundtable on Decimalization Raises Many Questions, Few Answers (February 15, 2013) |
Brian Korn ~ Pepper Hamilton LLP
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| 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) |
Brian Korn ~ Pepper Hamilton LLP
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| Chapter 24: Client Alert: Conflict Minerals: The Rule’s ‘Gray Areas’ That Will Matter in Implementation (October 26, 2012) |
Brian Korn ~ Pepper Hamilton LLP
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| 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) |
Brian Korn ~ Pepper Hamilton LLP
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| Chapter 26: Structuring and Selling Structured Products |
Anna T. Pinedo ~ Morrison Foerster LLP
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| Chapter 27: Morrison & Foerster News Bulletin: FINRA Issues Guidance on Backtested Performance Data (April 26, 2013) |
Anna T. Pinedo ~ Morrison Foerster LLP
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| Chapter 28: Morrison & Foerster News Bulletin: FINRA’s 2013 Communication Rules and Revisions to MSDAs (April 12, 2013) |
Anna T. Pinedo ~ Morrison Foerster LLP
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| Chapter 29: Morrison & Foerster News Bulletin: Additional SEC Guidance on Estimated Value Disclosures (February 28, 2013) |
Anna T. Pinedo ~ Morrison Foerster LLP
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| Chapter 30: Morrison & Foerster News Bulletin: Reverse Inquiry Transactions in the Spotlight (February 6, 2013) |
Anna T. Pinedo ~ Morrison Foerster LLP
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| Chapter 31: Securities Law Aspects of Mergers, Acquisitions, and Other Corporate Transactions (May 2013) |
Dennis J. Block ~ Greenberg Traurig, LLP
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| 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) |
N. Adele Hogan ~ Hogan Law Associates PLLC
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| Chapter 33: U.S. Securities and Exchange Commission—Draft Registration Statements to Be Submitted and Filed on Edgar (September 26, 2012) |
N. Adele Hogan ~ Hogan Law Associates PLLC
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| Chapter 34: U.S. Securities and Exchange Commission—SEC Says Social Media OK for Company Announcements If Investors are Alerted (April 2, 2013) |
N. Adele Hogan ~ Hogan Law Associates PLLC
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| Chapter 35: U.S. Securities and Exchange Commission—Accessing the U.S. Capital Markets—a Brief Overview for Foreign Private Issuers (February 20, 2013) |
N. Adele Hogan ~ Hogan Law Associates PLLC
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| 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) |
N. Adele Hogan ~ Hogan Law Associates PLLC
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| Chapter 37: Introduction to the U.S. Securities Laws (PowerPoint Slides) (July 25, 2013) |
Kenneth L. Josselyn ~ Goldman Sachs & Co.
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| Chapter 38: The Quest for Full Employment: “Decimalization” and “Tick Size” (PowerPoint Slides) |
David Weild ~ Weild & Co.
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| Chapter 39: Securities Act Exemptions/Private Placements (PowerPoint Slides) (May 2013) |
Adam Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
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| Chapter 40: Evolving Ethics and Professionalism Requirements (PowerPoint Slides) (July 26, 2013) |
Paul Salvatore ~ Proskauer Rose LLP
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| Index to Understanding the Securities Laws 2013 |
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