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Securities Law for Nonsecurities Lawyers--2002

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. CH001

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Coursebook Papers:

Overview of Federal Securities Law (0 pp) $29.00

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Definition of “Security” (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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Structure of the Securities Act of 1933, 15 U.S.C. § 77a et seq. (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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Unregistered Offerings of Corporate Securities (0 pp) $39.00

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Regulation A (0 pp) $29.00

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Intrastate Offerings (0 pp) $29.00

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Rule 701 (0 pp) $29.00

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Problems Caused by the Integration of Public and Private Offerings (0 pp) $29.00

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Pre-Planning for a Public Offering: Issues and Actions to be Considered Before Making the Commitment (0 pp) $19.99

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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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Shelf Registration and Rule 430A (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 of Operations (MD&A) (0 pp) $29.00

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Materiality, Informal Disclosure, Soft Information, and Forward Looking Statements under Securities Laws (0 pp) $29.00

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

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Liabilities under 1933 Act Sections 11, 12, and 15 (0 pp) $29.00

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

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Continuous Reporting Requirements under the Exchange Act of 1934 (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 Rule 14a-4(C) - Shareholder Proposals at Annual Meeting (0 pp) $29.00

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Reporting by Beneficial Owners (0 pp) $29.00

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Tender Offers (0 pp) $29.00

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Overview of Section 16 (0 pp) $29.00

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Regulation of Online Securities Transactions (0 pp) $29.00

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The Jurisprudence of SEC Rule 10b-5 (0 pp) $29.00

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Civil Liabilities to Private Parties Under 1934 Act (0 pp) $29.00

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Insider Trading under SEC Rule 10b-5 (0 pp) $29.00

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Form of Summary Memorandum and Sample Corporate Policy on Insider Trading (0 pp) $29.00

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Liability for Corporate Misstatements (0 pp) $29.00

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The Securities Litigation Reform Acts of 1995 and 1998 (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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Frequently Asked Questions about the Resale of Restricted Securities (0 pp) $29.00

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