Course Handbook  Course Handbook

Securities Law and Practice 2016: How the SEC Works

Publication Date: November 2016 Number of Volumes: 1
ISBN Number: 9781402427817 Page Count: 310 pages

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Download: Table of Contents    Index

Table of Contents
Chapter 1: Approaching Securities Law Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 2: The Laws That Govern the Securities Industry Clifford E Kirsch ~ Sutherland Asbill & Brennan LLP
Chapter 3: Researching the Federal Securities Laws Through the SEC Website Clifford E Kirsch ~ Sutherland Asbill & Brennan LLP
Chapter 4: Regulatory Framework of Securities Act Registration Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 5: Registration and Periodic Reporting Under the Exchange Act Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 6: SEC—What We Do Jennifer B McHugh ~ Senior Policy Advisor to the Director, Division of Investment Management, Securities and Exchange Commission
Chapter 7: Non-GAAP Financial Measures: The SEC’s Evolving Views (June 2016) Adam E Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 8: Standards of Professional Conduct for Attorneys Appearing and Practicing before the Commission in the Representation of an Issuer, 17 CFR Part 205 Clifford E Kirsch ~ Sutherland Asbill & Brennan LLP
Chapter 9: Not Your Father’s Ethics Environment—Is There Increased Scrutiny of Lawyers? What Is the Truth and What Are the Consequences? Giovanni P Prezioso ~ Cleary Gottlieb Steen & Hamilton LLP
Index

This Course Handbook was compiled for the program, Securities Law and Practice 2016 How the SEC Works.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Clifford E Kirsch, Sutherland Asbill & Brennan LLP
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