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Fundamentals of Securities Law--2006

The purpose of this course of study, comprising 12 full hours of instruction, is to familiarize lawyers with the basic structure and concepts of the federal securities laws, and where and how those laws may be relevant in a general or specialized business law or emerging securities law practice. After a general overview, the course examines four principal areas: Regulation of public offerings; Transactions by corporate insiders; Regulation of corporate disclosure and conduct; and Liabilities of corporations and individuals under the antifraud provisions CM050

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Coursebook Papers:

Table of Contents

Overview of Federal Securities Law (6 pp) $29.00

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Definition of "Security" (16 pp) $29.00

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Relation of Securities Laws to Other Laws (8 pp) $29.00

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Roles and Functions of the Securities and Exchange Commission (10 pp) $29.00

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Structure of the Securities Act of 1933
15 U.S.C. ยง 77a et seq. (8 pp) $29.00

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Exemptions from the Securities Act Registration Requirements-General Considerations (6 pp) $29.00

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Unregistered Offerings of Corporate Securities Including Regulation D and Regulation A (56 pp) $39.00

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Intrastate Offerings (8 pp) $29.00

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Securities Offerings to Employees, Consultants and Advisors under Rule 701 (22 pp) $29.00

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Regulation S Offerings (10 pp) $29.00

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Problems Caused by the Integration of Public and Private Offerings (10 pp) $29.00

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Overview -The Underwriter Concept (8 pp) $29.00

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Overview of Rule 144 (8 pp) $29.00

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Offers, Sales and Resales of Securities under Section 4(1-1/2) and Rule 144A (8 pp) $29.00

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Pre-Planning for a Public Offering: Issues and Actions to Be Considered Before Making the Commitment (12 pp) $29.00

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Communications During the "Offering Process" and Securities Offering Reform by SEC (12 pp) $29.00

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Preparation of the Registration Statement (44 pp) $29.00

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Some Background and Simple FAQs about Dutch Auctions and the Google IPO (10 pp) $29.00

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Overview of Regulations S-K and S-B (22 pp) $29.00

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Management's Discussion and Analysis of Financial Condition and Results of Operations (MD&A) (20 pp) $29.00

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Management's Discussion and Analysis of Financial Condition and Results of Operation (MD&A) (18 pp) $29.00

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Materiality, Informal Disclosure, Soft Information, and Forward Looking Statements Under the Securities Laws (34 pp) $29.00

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Continuous Reporting Requirements under the Exchange Act of 1934 (8 pp) $29.00

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Some FAQs and Answers about Corporate Disclosure (20 pp) $29.00

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Registration under the Securities Exchange Act of 1934 (8 pp) $29.00

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Overview of Proxy Solicitation (16 pp) $29.00

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Proxy Solicitation (16 pp) $29.00

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Reporting by Beneficial Owners (10 pp) $29.00

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Overview of Rule 14a-8-Shareholder Proposals in Proxy Statement and Rule 14a4(C)-Shareholder Pro (8 pp) $29.00

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Overview of Tender Offers (16 pp) $29.00

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Regulation of Online Securities Transactions (24 pp) $29.00

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Ethics and Professional Responsibility for Attorneys in Securities Transactions (44 pp) $29.00

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Notes on Deregistration of Securities under the Securities Exchange Act of 1934 (6 pp) $29.00

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The Jurisprudence of SEC Rule 10b-5 (10 pp) $29.00

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Civil Liabilities to Private Parties under the 1934 Act
(including litigation reform) (14 pp) $29.00

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Civil Liabilities to Private Parties under Sections 11 and 12 of the 1933 Act (8 pp) $29.00

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Form of Summary Memorandum and Sample Corporate Policy on Insider Trading (20 pp) $29.00

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Insider Trading under Rule 10b-5 (14 pp) $29.00

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Overview of Section 16 (10 pp) $29.00

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