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Fundamentals of Securities Law

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Coursebook Forms:

Form of Summary Memorandum and Sample Corporate Policy on Insider Trading (2009) (20 pp) $29.00
By Alan J. Berkeley

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Coursebook Papers:

Table of Contents

Overview of Federal Securities Law (6 pp) $29.00
By Thomas Lee Hazen

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Definition of “Security” (16 pp) $29.00
By Professor Kevin V. Haynes

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Relation of Securities Laws to Other Laws (8 pp) $29.00
By Thomas Lee Hazen

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Roles and Functions of the Securities and Exchange Commission (10 pp) $29.00
By Thomas Lee Hazen

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Structure of the Securities Act of 1933 (8 pp) $29.00
By Thomas Lee Hazen

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Exemptions from the Securities Act Registration Requirements — General Considerations (6 pp) $29.00
By Thomas Lee Hazen

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Exemptions from the Securities Act Registration Requirements — Non-Public Offerings and Regulation (12 pp) $29.00
By Thomas Lee Hazen

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Unregistered Offerings of Corporate Securities Including Regulation D and Regulation A (32 pp) $29.00

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Intrastate Offerings (8 pp) $29.00
By Thomas Lee Hazen

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Securities Offerings to Employees, Consultants, and Advisors Under Rule 701 (22 pp) $29.00
By Robert B. Robbins

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Offerings under Regulation S (10 pp) $29.00
By Robert B. Robbins

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

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Securities Law for Non-Securities Lawyers: Underwriters (6 pp) $29.00
By Amy Bowerman Freed, Esquire

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Offers, Sales, and Resales of Securities Under Section 4 (1-1/2) and Rule 144A (8 pp) $29.00
By Robert B. Robbins

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Pre-Planning for a Public Offering-Issues and Actions to be Considered Before Making the Commitment (12 pp) $29.00
By Alan J. Berkeley

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Communications During the “Offering Process” and Securities Offering Reform by SEC (12 pp) $29.00
By Alan J. Berkeley

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Preparation of the Registration Statement (46 pp) $29.00
By Robert B. Robbins

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Roadmap for Undertaking a Private Offering (14 pp) $29.00
By Alan J. Berkeley

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Some Background and Simple FAQs about Dutch Auctions and the Google IPO (10 pp) $29.00
By Alan J. Berkeley

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Securities Law for Non-Securities Lawyers: Management’s Discussion and Analysis (20 pp) $29.00
By Amy Bowerman Freed, Esquire

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Materiality, Informal Disclosure, Soft Information, and Forward Looking Statements Under Securities Laws (36 pp) $29.00
By Alan J. Berkeley

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Securities Law for Non-Securities Lawyers: Registration Under the Securities Exchange Act of 1934 (8 pp) $29.00
By Amy Bowerman Freed, Esquire

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

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Frequently Asked Questions about the Resale of Restricted Securities (12 pp) $29.00
By Alan J. Berkeley

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Some FAQs and Answers about Corporate Disclosure (20 pp) $29.00
By Alan J. Berkeley

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Securities Law for Non-Securities Lawyers: Proxy Solicitation (18 pp) $29.00
By Amy Bowerman Freed, Esquire

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Reporting by Beneficial Owners (10 pp) $29.00

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Securities Law for Non-Securities Lawyers: Tender Offers (22 pp) $29.00
By Amy Bowerman Freed, Esquire

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Insider Trading under Rule 10b-5 (16 pp) $29.00

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The Jurisprudence of SEC Rule 10b-5 (10 pp) $29.00
By Thomas Lee Hazen

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Notes on Deregistration of Securities under the Securities Exchange Act of 1934 (8 pp) $29.00
By Alan J. Berkeley

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Civil Liabilities to Private Parties under the 1934 Act (16 pp) $29.00
By Thomas Lee Hazen

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

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Ethics and Professional Responsibility for Attorneys in Securities Transactions (46 pp) $29.00
By Robert B. Robbins

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The Sarbanes-Oxley Act of 2002 (16 pp) $29.00
By Alan J. Berkeley

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