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Fundamentals of Securities Law

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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 (8 pp) $29.00
By Thomas Lee Hazen

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Structure of the Securities Act of 1933 (6 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 D (12 pp) $29.00
By Thomas Lee Hazen

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Unregistered Offerings of Corporate Securities Including Regulation D and Regulation A (30 pp) $29.00

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Intrastate Offerings (6 pp) $29.00
By Thomas Lee Hazen

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Limitations on the Manner of Offering under Regulation D (30 pp) $29.00
By Alan J. Berkeley

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Revised Form D (16 pp) $29.00
By Alan J. Berkeley

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PIPEs Hedging Under Scrutiny (24 pp) $29.00
By Alan J. Berkeley

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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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Regulation S (8 pp) $29.00
By Alan J. Berkeley

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AIM (Equity) Offerings under Regulation S and Trading and Resale Constraints (24 pp) $29.00
By Alan J. Berkeley

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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 (10 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 (44 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 (8 pp) $29.00
By Alan J. Berkeley

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Securities Law for Non-Securities Lawyers: Management’s Discussion and Analysis of Financial Condition and Results of Operations (MD&A) (18 pp) $29.00
By Amy Bowerman Freed, Esquire

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SEC Amends Rules to Enhance Compensation and Governance Disclosure (10 pp) $29.00
By Amy Bowerman Freed, Esquire

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Materiality, Informal Disclosure, Soft Information, and Forward Looking Statements under Securities Laws (42 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 (6 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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Federal Securities Law Obligations of a Public Company and Its Directors, Executive Officers and Principal Stockholders (42 pp) $29.00
By Amy Bowerman Freed, Esquire

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Frequently Asked Questions about the Resale of Restricted Securities (14 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 (20 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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Notes on Deregistration of Securities under the Securities Exchange Act of 1934 (6 pp) $29.00
By Alan J. Berkeley

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The Jurisprudence of SEC Rule 10b-5 (8 pp) $29.00
By Thomas Lee Hazen

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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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Insider Trading under Rule 10b-5 (14 pp) $29.00
By Professor Kevin V. Haynes

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

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Developments under Section 16 (54 pp) $39.00

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

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Ethics and Professional Responsibility for Attorneys in Securities Transactions (48 pp) $29.00
By Robert B. Robbins

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