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Securities Law for Nonsecurities Lawyers--2003

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. CH030

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Coursebook Papers:

Overview of Federal Securities Law (0 pp) $29.00

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Relation of Securities Laws to Other Laws (0 pp) $29.00

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Roles and Functions of the Securities and Exchange Commission (0 pp) $29.00

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Exemptions from the Securities Act Registration Requirements: General Considerations (0 pp) $29.00

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Frequently Asked Questions about the Resale of Restricted Securities (0 pp) $29.00

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Regulation A (0 pp) $29.00

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Rule 701 (0 pp) $29.00

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Regulation S Offerings (0 pp) $29.00

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Overview–The Underwriter Concept (0 pp) $29.00

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Overview of Rule 144 (0 pp) $29.00

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Offers, Sales, and Resales of Securities under Rule 144A (0 pp) $29.00

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Communications During the "Offering Process" (0 pp) $29.00

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Preparation of the Registration Statement (0 pp) $29.00

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Overview of Regulations S-K and S-B (0 pp) $29.00

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Management's Discussion and Analysis of Financial Condition and Results (0 pp) $29.00

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Materiality, Informal Disclosure, Soft Information, and Forward (0 pp) $29.00

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Registration under the Securities Exchange Act of 1934 (0 pp) $29.00

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Some FAQs and Answers about Corporate Disclosure (0 pp) $29.00

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Overview of Proxy Solicitation (0 pp) $29.00

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Overview of Rule 14a-8 – Shareholder Proposals in Proxy Statement (0 pp) $29.00

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Tender Offers (0 pp) $29.00

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Regulation of Online Securities Transactions (0 pp) $29.00

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Overview of Section 16 (0 pp) $29.00

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Ethics and Professional Responsibility for Attorneys in Securities Transactions (0 pp) $29.00

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