Course Handbook  Course Handbook

Understanding the Securities Laws 2018

Publication Date: July 2018 Number of Volumes: 1
ISBN Number: 9781402432057 Page Count: 1020 pages

From: Understanding the Securities Laws 2018

Download: Table of Contents    Index

Table of Contents
Chapter 1: Chapter 1: Approaching Securities Law, Practising Law Institute, Securities Law and Practice Deskbook (6th Edition) Gary M Brown ~ Nelson Mullins Riley & Scarborough LLP
Chapter 2: Chapter 3: Regulatory Framework of Securities Act Registration, Practising Law Institute, Securities Law and Practice Deskbook (6th Edition) Gary M Brown ~ Nelson Mullins Riley & Scarborough LLP
Chapter 3: Chapter 5: Reach of Securities Act Regulation, Practising Law Institute, Securities Law and Practice Deskbook (6th Edition) Gary M Brown ~ Nelson Mullins Riley & Scarborough LLP
Chapter 4: Chapter 9: Registration and Periodic Reporting Under the Exchange Act, Practising Law Institute, Securities Law and Practice Deskbook (6th Edition) Gary M Brown ~ Nelson Mullins Riley & Scarborough LLP
Chapter 5: Registering Securities Under the Securities Act of 1933 (April 2018) R. Cabell Morris ~ Winston & Strawn LLP
Chapter 6: Mayer Brown LLP, Deciding Among Exempt Offering Alternatives (Chart) Anna T Pinedo ~ Mayer Brown LLP
Chapter 7: Mayer Brown LLP, Investor Status Anna T Pinedo ~ Mayer Brown LLP
Chapter 8: Anna T. Pinedo and James R. Tanenbaum, Ch. 2: Private Placements—An Overview, Practising Law Institute, Exempt and Hybrid Securities Offerings (3rd Edition) Anna T Pinedo ~ Mayer Brown LLP
Chapter 9: Anna T. Pinedo and James R. Tanenbaum, Ch. 3: Rule 506 Offerings, Practising Law Institute, Exempt and Hybrid Securities Offerings (3rd Edition) Anna T Pinedo ~ Mayer Brown LLP
Chapter 10: Anna T. Pinedo and James R. Tanenbaum, Securities Offerings and Communications: Is the Integration Bogeyman Dead? Anna T Pinedo ~ Mayer Brown LLP
Chapter 11: Securities Act Exemptions Kevin E Slaughter ~ Quarles & Brady LLP
Chapter 12: Periodic and Other Reporting Obligations Under the Securities Exchange Act of 1934 (April 2018) Richard F Langan ~ Nixon Peabody LLP
Alice G Givens ~ Vice President-General Counsel, Chief Compliance Officer and Corporate Secretary, Ruth's Hospitality Group, Inc.
Chapter 13: Sidley Austin LLP, SEC Issues New Guidance on Cybersecurity Disclosure Requirements (March 2, 2018) Gary D Gerstman ~ Sidley Austin LLP
Chapter 14: Douglas Koff, Kelly Koscuiszka, and Jacqueline Srour, Liability for Securities Law Violations (Substantive Outline) (May 2, 2018) Douglas I Koff ~ Schulte Roth & Zabel
Chapter 15: Dangerous Liaisons: Collective Scienter in SEC Enforcement Actions, 6 N.Y.U. J. L. & Bus.1 (Fall 2009) Bradley J Bondi ~ Cahill Gordon & Reindel LLP
Chapter 16: Bradley J. Bondi and Steven D. Lofchie, The Law of Insider Trading: Legal Theories, Common Defenses, and Best Practices for Ensuring Compliance, 8 N.Y.U. J. L. & Bus.151 (Fall 2011) Bradley J Bondi ~ Cahill Gordon & Reindel LLP
Chapter 17: Cahill Gordon & Reindel LLP, SEC Proposes Broad Clawback Rules for Executive Compensation (July 10, 2015) Bradley J Bondi ~ Cahill Gordon & Reindel LLP
Chapter 18: Cahill Gordon & Reindel LLP, SEC Settles with CEO for Failure to Disclose Executive Perks to Shareholders (June 2, 2017) Bradley J Bondi ~ Cahill Gordon & Reindel LLP
Chapter 19: “Section 16 Insiders—Reporting and Liability”—Overview of Section 16 of the Exchange Act Jennifer L Nadborny ~ Simpson Thacher & Bartlett LLP
Chapter 20: Section 16, Clawbacks and Other Disgorgement Under the Federal Securities Laws (May 2, 2018) Lori B Metrock ~ Baker, Donelson, Bearman, Caldwell & Berkowitz, PC
Chapter 21: Regulation of Proxy Solicitation (May 2018) David K Boston ~ Willkie Farr & Gallagher LLP
Chapter 22: Effectively Telling Your Executive Compensation Story as an Activist Defensive Measure (May 2, 2018) Gillian E Moldowan ~ Shearman & Sterling LLP
Chapter 23: Christopher M. Hayden and Anne C. Meyer, Practical Considerations for Your First Annual Meeting (April 2018) Christopher M Hayden ~ Senior Managing Director, Georgeson LLC
Chapter 24: Securities Law Aspects of Mergers, Acquisitions, and Other Corporate Transactions (Substantive Outline) (April 2018) Dennis J Block ~ Greenberg Traurig, LLP
Chapter 25: Securities Law Aspects of Mergers, Acquisitions, and Other Corporate Transactions (New York PowerPoint slides) Dennis J Block ~ Greenberg Traurig, LLP
June S Dipchand ~ Skadden, Arps, Slate,Meagher & Flom LLP
Chapter 26: Craig T. Alcorn and Hagen J. Ganem, Securities Law Aspects of Mergers, Acquisitions and Other Corporate Transactions (Article) (May 2, 2018) Craig T Alcorn ~ Skadden, Arps, Slate, Meagher & Flom LLP
Chapter 27: Cleary Gottlieb Steen & Hamilton LLP, Alert Memorandum, Spotify’s Direct Listing—A Look Under the Hood (April 17, 2018) Adam E Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
Chapter 28: Ethics: Selected Materials, Selected Excerpts from the New York State Rules of Professional Responsibility Effective April 1, 2009 and as Amended through May 1, 2014 N. Adele Hogan ~ Baker Tilly Virchow Krause, LLP
Chapter 29: U.S. Securities and Exchange Commission, Public Statement, SEC Chairman Jay Clayton, Statement on Cryptocurrencies and Initial Coin Offerings (December 11, 2017) N. Adele Hogan ~ Baker Tilly Virchow Krause, LLP
Chapter 30: U.S. Securities and Exchange Commission, Public Statement, Divisions of Enforcement and Trading and Markets, Statement on Potentially Unlawful Online Platforms for Trading Digital Assets (March 7, 2018) N. Adele Hogan ~ Baker Tilly Virchow Krause, LLP
Chapter 31: Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, In the Matter of Panasonic Corporation, Securities Exchange Act Release No. 83128, Accounting and Auditing Enforcement Release No. 3938, Administrative Proceeding File No. 3-18459 (SEC April 30, 2018) N. Adele Hogan ~ Baker Tilly Virchow Krause, LLP
Chapter 32: Department of the Treasury, Office of Foreign Assets Control (OFAC), Risk Factors for OFAC Compliance in the Securities Industry (Updated November 5, 2008) N. Adele Hogan ~ Baker Tilly Virchow Krause, LLP
Index

This Course Handbook was compiled for the program, Understanding the Securities Laws 2018.

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, Nelson Mullins Riley & Scarborough LLP
N. Adele Hogan, Baker Tilly Virchow Krause, LLP
Mark D Wood, Katten Muchin Rosenman LLP
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