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Securities Law for Nonsecurities Lawyers--2004

These materials are intended to familiarize lawyers who do not regularly practice securities law with the basic structure of the federal securities laws, and where and how those laws may be relevant in a general or specialized business law practice. The outlines and papers examine four principal areas: (1) regulation of public offerings; (2) transactions by corporate insiders; (3) regulation of corporate disclosure and conduct; and (4) liabilities of corporations and individuals under the antifraud provisions. They also cover the federal securities laws; definition of the term "security"; jurisdictional questions; relation to other laws; role and functions of the SEC; structure of the 1933 Act; the registration process; disclosure requirements; the exemptions for non-public and small offerings, intrastate offerings, offerings to employees, offerings outside the U.S., and secondary transactions; liability under §§11 and 12; structure of the 1934 Act; issuer registration; periodic reporting requirements; informal disclosure requirements; proxy solicitation; shareholder proposals; beneficial ownership reports; tender offers; "going private"; reports and liability under §16; elements of Rule 10b-5; civil liability under the antifraud provisions; liability for insider trading; and liability for corporate misstatements. CK003

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Coursebook Papers:

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. § 77a et seq. (8 pp) $29.00

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Exemptions from the Securities Act Registration Requirements (8 pp) $29.00

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Unregistered Offerings of Corporate Securities (60 pp) $39.00

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Intrastate Offerings (8 pp) $29.00

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Regulation A (10 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 (8 pp) $29.00

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Overview – The Underwriter Concept (8 pp) $29.00

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Communications During the (14 pp) $29.00

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Some Background and Simple FAQs about Dutch Auctions and the Google IPO (42 pp) $29.00

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Shelf Registration and Rule 430A (8 pp) $29.00

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Materiality, Informal Disclosure, Soft Information, and Forward Looking Statements under Securities Laws (30 pp) $29.00

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

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Registration under the Securities Exchange Act of 1934 (8 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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Proxy Solicitation (16 pp) $29.00

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Reporting by Beneficial Owners (10 pp) $29.00

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Tender Offers (16 pp) $29.00

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Regulation of Online Securities Transactions (22 pp) $29.00

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The Jurisprudence of SEC Rule 10b-5 (14 pp) $29.00

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Civil Liabilities to Private Parties Under 1934 Act (8 pp) $29.00

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Insider Trading under Rule 10b-5 (14 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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Ethics and Professional Responsibility for Attorneys in Securities Transactions (40 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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