- Volume 1
Chapter - Introduction to Securities Regulation
- What Is a Security?
- The Integrated Disclosure System
- Integrated Disclosure for Small Business Issuers
- The Public Offering Distribution Process
- The Public Offering Registration Process
- Public Offerings by Small Companies
- The Distribution of Municipal Securities
- Exempt Offerings
- Resale of Restricted Securities, Rules 144 and 144A, Secondary Distributions, and Trading by Affliates
- Listing on Trading Markets (SROs) and SRO Regulation
- Registration and Reporting under the Exchange Act
- EDGAR
- Reporting and Short-Swing Profit Liability Under Section 16
- Corporate Governance and the Federal Securities Laws
- Regulation of Tender Offers and Going Private Transactions
- Proxy Regulation
- Shareholder Proposals
- Regulation of Broker-Dealers
- Investment Companies and Investment Advisers
- Public Company Accounting Oversight Board, SEC, FASB, and Public Accountants
- Transnational Aspects
- Regulation of the Penny Stock Market
- State Securities Registration
- Volume 2
- Introduction to Securities Litigation
- Private Actions—Express Remedies
- Private Actions—Implied Remedies (Primarily Rule 10b-5)
- Safe Harbors for Forward-Looking Statements—The PSLRA, the SEC, and Bespeaks Caution
- Pleading Securities Fraud and the PSLRA
- PSLRA—Lead Plaintiff/Counsel; Discovery; Sanctions and Other Class Action Provisions
- Private Actions—State Remedies and SLUSA
- Statute of Limitations and Private Actions Under the Securities Acts
- Insider Trading
- Fraud on Shareholders
- Broker-Dealer Litigation and Arbitration
- SEC Enforcement
- Venue, Jurisdiction, Damages, Joint Liability/Contribution and Other Litigation Odds and Ends
- Hostile Takeovers—Defensive Strategies and Wilmington Filers
- SEC and the Professional
- Table of Laws and Rules
- Table of Cases
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