Course Handbook  Course Handbook

Understanding the Securities Laws 2017

Publication Date: July 2017 Number of Volumes: 1
ISBN Number: 9781402429385 Page Count: 1256 pages

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Table of Contents
Chapter 1: Chapter 1: Approaching Securities Law, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 2: Chapter 3: Regulatory Framework of Securities Act Registration, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 3: Chapter 5: Reach of Securities Act Regulation, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 4: Chapter 9: Registration and Periodic Reporting Under the Exchange Act, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 5: Introduction to Securities Law (PowerPoint slides) Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 6: Selected Links to Materials Relevant to Registering Securities Under the Securities Act of 1933: The Skills Needed by Securities Lawyers N. Adele Hogan ~ Director , Deutsche Bank AG
Chapter 7: Registering Securities Under the Securities Act of 1933 (April 2017) R. Cabell Morris ~ Winston & Strawn LLP
Chapter 8: Ze’-ev D. Eiger, et al., Morrison & Foerster LLP, Practice Pointers on: Navigating the Securities Act’s Prohibition on General Solicitation and General Advertising Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 9: Morrison & Foerster LLP, JOBS Act Quick Start 2016 Update, Chapter 4, Private Offerings Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 10: Morrison & Foerster LLP, JOBS Act Quick Start 2016 Update, Chapter 6, Regulation A+ Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 11: Ze’-ev D. Eiger, David M. Lynn and Elizabeth C. Schauber, Morrison & Foerster LLP, Client Alert, SEC Adopts Final Rules Regarding Intrastate and Regional Offerings (October 27, 2016) Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 12: Marty Dunn, et al., Morrison & Foerster LLP, Client Alert, Regulation A+: Final Rules Offer Important Capital Raising Alternatives (March 26, 2015) Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 13: Morrison & Foerster LLP, Investor Criteria for U.S. Private Placements and Other Offerings, Summary Tables and Comparisons Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 14: Morrison & Foerster LLP, Summary Chart of Exempt Offering Alternatives Anna T Pinedo ~ Morrison & Foerster LLP
Chapter 15: Securities Act Exemptions (Prepared as of May 11, 2017) Kevin E Slaughter ~ Quarles & Brady LLP
Chapter 16: Periodic and Other Reporting Obligations Under the Securities Exchange Act of 1934 (April 2017) Richard F Langan ~ Nixon Peabody LLP
Raymond Y Lin ~ Latham & Watkins LLP
Alice G Givens ~ Vice President-General Counsel, Chief Compliance Officer and Corporate Secretary, Ruth's Hospitality Group, Inc.
Chapter 17: Sidley Austin LLP, Practice Note, Not-So-Current Reports: What Form S-3 Companies Need to Know About Late Form 8-K Filings (August 24, 2016) Gary D Gerstman ~ Sidley Austin LLP
Chapter 18: Liability for Securities Law Violations (Substantive Outline) Douglas I Koff ~ Schulte Roth & Zabel LLP
Jacqueline Srour ~ Schulte Roth & Zabel LLP
Kelly Koscuiszka ~ Schulte Roth & Zabel LLP
Chapter 19: Schulte Roth & Zabel LLP, Alert, Salman Spawns No Sweeping Change in Insider Trading Law (December 12, 2016) Douglas I Koff ~ Schulte Roth & Zabel LLP
Chapter 20: Joseph P. Vitale, NYDFS’ Revision of Proposed Cybersecurity Regulation for Financial Services Companies, Harvard Law School Forum on Corporate Governance and Financial Regulation (January 10, 2017) Douglas I Koff ~ Schulte Roth & Zabel LLP
Chapter 21: Michael L. Yaeger, et al., Cyber-SARS Anti-Money Laundering and Cybersecurity Rules, The Hedge Fund Journal (January 2017) Douglas I Koff ~ Schulte Roth & Zabel LLP
Chapter 22: Betty Santangelo and Melissa G.R. Goldstein, FinCEN’s Customer Due Diligence Final Rule, The Hedge Fund Journal (June 2016) Douglas I Koff ~ Schulte Roth & Zabel LLP
Chapter 23: Donald J. Mosher, et al., NYDFS Issues AML/Sanctions Programs and Annual Certification Requirements for Banks, Money Transmitters and Check Cashers, Westlaw Journal, Bank & Lender Liability, Volume 22, Issue 9 (September 19, 2016) Douglas I Koff ~ Schulte Roth & Zabel LLP
Chapter 24: Alston & Bird LLP, Private Securities Litigation Reform Act—Major Developments and Issues Lisa R Bugni ~ Alston & Bird LLP
Chapter 25: “Section 16 Insiders—Reporting and Liability”—Overview of Section 16 of the Exchange Act Jennifer L Nadborny ~ Simpson Thacher & Bartlett LLP
Chapter 26: Simpson Thacher, Memorandum, SEC Proposes Executive Compensation Clawback Rule (July 23, 2015) Jennifer L Nadborny ~ Simpson Thacher & Bartlett LLP
Chapter 27: Simpson Thacher, Memorandum, SEC Charges Computer Sciences Corporation and Its Former Executives With Accounting Fraud, Invoking Sarbanes-Oxley’s Clawback Provision (July 6, 2015) Jennifer L Nadborny ~ Simpson Thacher & Bartlett LLP
Chapter 28: Simpson Thacher, Memorandum, SEC Charges Eight Insiders For Failing to Update Stock Ownership Disclosures (April 3, 2015) Jennifer L Nadborny ~ Simpson Thacher & Bartlett LLP
Chapter 29: Simpson Thacher, Memorandum, SEC Files Sarbanes-Oxley Clawback Action Against Two Former CFOs (March 3, 2015) Jennifer L Nadborny ~ Simpson Thacher & Bartlett LLP
Chapter 30: Simpson Thacher, Memorandum, SEC Charges 34 Insiders, Shareholders and Public Companies with Delinquencies in Reporting Stock Holdings and Trades (September 22, 2014) Jennifer L Nadborny ~ Simpson Thacher & Bartlett LLP
Chapter 31: Section 16, Clawbacks and Other Disgorgement Under the Federal Securities Laws (April 18, 2017) Lori B Metrock ~ Baker, Donelson, Bearman, Caldwell & Berkowitz, PC
Chapter 32: Regulation of Proxy Solicitation (April 2017) David K Boston ~ Willkie Farr & Gallagher LLP
Chapter 33: Shearman & Sterling LLP, Client Publication, Compensation, Governance & ERISA, Nasdaq Golden Leash Disclosure Rule Approved by SEC (July 15, 2016) Linda E Rappaport ~ Shearman & Sterling LLP
Chapter 34: Shearman & Sterling LLP, Client Publication, Compensation, Governance & ERISA, The Re-Proposed Rule on Incentive-Based Compensation at Financial Institutions: Overview and Observations (May 5, 2016) Linda E Rappaport ~ Shearman & Sterling LLP
Chapter 35: Shearman & Sterling LLP, Client Publication, Compensation, Governance & ERISA, The SEC’s Final Pay Ratio Rules: What You Need to Know (August 10, 2015) Linda E Rappaport ~ Shearman & Sterling LLP
Chapter 36: Anne C. Meyer, Georgeson Report—Proxy Season Preparedness: Strategies for the “On” Season (March 27, 2017) Christopher M Hayden ~ Senior Managing Director, Georgeson LLC
Chapter 37: Anne C. Meyer, Georgeson Report—Proxy Advisory Firms’ 2017 Policy Updates (December 5, 2016) Christopher M Hayden ~ Senior Managing Director, Georgeson LLC
Chapter 38: Rajeev Kumar, CFA, Georgeson 2016 Annual Corporate Governance Review Executive Summary (November 18, 2016) Christopher M Hayden ~ Senior Managing Director, Georgeson LLC
Chapter 39: Anne C. Meyer, Georgeson Report: SEC Proposes Universal Proxy Cards (November 16, 2016) Christopher M Hayden ~ Senior Managing Director, Georgeson LLC
Chapter 40: Practical Considerations for Your First Annual Meeting (July 2014) Christopher M Hayden ~ Senior Managing Director, Georgeson LLC
Chapter 41: Securities Law Aspects of Mergers, Acquisitions, and Other Corporate Transactions (Substantive Outline) Dennis J Block ~ Greenberg Traurig, LLP
Chapter 42: Securities Law Aspects of Mergers, Acquisitions, and Other Corporate Transactions (New York PowerPoint slides) Dennis J Block ~ Greenberg Traurig, LLP
Damien R Zoubek ~ Cravath, Swaine & Moore LLP
June S Dipchand ~ Skadden, Arps, Slate,Meagher & Flom LLP
Chapter 43: Securities Law Aspects of Mergers, Acquisitions and Other Corporate Transactions (April, 24, 2017) Craig T Alcorn ~ Skadden, Arps,Slate Meagher & Flom LLP
Hagen J Ganem ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 44: Cleary Gottlieb Steen & Hamilton LLP, Alert Memorandum, The Hague Securities Convention Goes Live April 1, 2017 (March 29, 2017) Adam E Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 45: Matthew C. Solomon, et al., Cleary Gottlieb Steen & Hamilton LLP, Cleary M&A and Corporate Governance Watch, Acting SEC Chair Michael Piwowar Takes Steps to Centralize the Process of Issuing Formal Orders—Are Commentators Drawing the Right Lessons? (February 28, 2017) Adam E Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 46: Cleary Gottlieb Steen & Hamilton LLP, Alert Memorandum, Jury Awards Ousted General Counsel Nearly $11 Million in Whistleblower Retaliation Action—Key Takeaways (February 21, 2017) Adam E Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 47: Elizabeth (Lisa) Vicens, et al., Cleary Gottlieb Steen & Hamilton LLP, Cleary M&A and Corporate Governance Watch, Supreme Court Clarifies Insider Trading Liability for Confidential Tips (December 7, 2016) Adam E Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 48: Neil Markel, Cleary Gottlieb Steen & Hamilton LLP, Cleary M&A and Corporate Governance Watch, Smoothing the Pathway to Use of Tender Offers in Private Equity Acquisitions (December 6, 2016) Adam E Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 49: Daniel Ilan, et al., Cleary Gottlieb Steen & Hamilton LLP, Cleary M&A and Corporate Governance Watch, Privacy in M&A Transactions: Navigating the Traps (October 24, 2016) Adam E Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 50: Daniel Ilan, et al., Cleary Gottlieb Steen & Hamilton LLP, Cleary M&A and Corporate Governance Watch, Privacy in M&A Transactions: Navigating the Traps, Part 2 (October 25, 2016) Adam E Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 51: Sullivan & Cromwell LLP, SEC Adopts T+2 Settlement Cycle (March 28, 2017) Catherine M Clarkin ~ Sullivan & Cromwell LLP
Chapter 52: Commodity Futures Trading Commission, Office of Public Affairs, Fact Sheet—Final Rule Regarding Margin for Uncleared Swaps (December 16, 2015) N. Adele Hogan ~ Director , Deutsche Bank AG
Chapter 53: Chapter 16: The SEC’s New Pay Ratio Disclosure Rule Gary M Brown ~ Chief Executive Officer, CMG Life Services Inc.
Chapter 54: Links to Material Relevant to Navigating Ethics and Professionalism Requirements in Securities Law Practice N. Adele Hogan ~ Director , Deutsche Bank AG
Chapter 55: U.S. Securities and Exchange Commission, Recordkeeping and Internal Controls Provisions Section 13(b) of the Securities Exchange Act of 1934 (May 28, 2003) N. Adele Hogan ~ Director , Deutsche Bank AG
Chapter 56: U.S. Securities and Exchange Commission, Anti-Bribery Provision, §30A of the Securities Exchange Act of 1934 (March 19, 2002) N. Adele Hogan ~ Director , Deutsche Bank AG
Chapter 57: U.S. Securities and Exchange Commission, National Exam Program, Office of Compliance Inspections and Examinations, Examination Priorities For 2017 N. Adele Hogan ~ Director , Deutsche Bank AG
Index

This Course Handbook was compiled for the program, Understanding the Securities Laws 2017.

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)
Gary M Brown, CMG Life Services Inc.
N. Adele Hogan, Deutsche Bank AG
Mark D Wood, Katten Muchin Rosenman LLP
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