Securities Regulation (Law School Legends Audio Series)

The Law School Legends Securities Regulation audio lecture on CD includes information on Modern Financial Markets, Securities Markets, Federal Securities Laws, Role of the SEC, Forces of Change at Work in Today s Securities Markets, Definition of Security Scope of Statutory Definition of Security, The Howey Test, Role of the Context Clause , Sale of Business Doctrine, Promissory Notes, Public Offerings and the Registration Process under §5 of the 1933 Act The Modern Underwriting Process, Overview of the Regulating Framework of §5 of the 1933 Act, Jurisdictional Underpinnings of the 1933 Act, Pre filing Period, Waiting Period, Post effective Period, Preparing the Registration Statement and the SECs System of Integrated Disclosure, Shelf Registration Procedures, SECs New Public Offering Reform Rules Introduction, Reforms that Apply to All Issuers, Reforms that Apply to Communications Made in the IPO Context, Changes to Prospectus Delivery Obligations, Changes to Scope of Civil Liability Under the 1933 Act, Reforms that Apply to Public Offerings by Well-known Seasoned Issuers, Reforms that Apply to Public Companies Other than WKSIs, Off shore Public Offerings; SECs Disclosure Policy and Theories of Materiality Line Item Disclosure and the Concept of Materiality; Issuer s Exemptions from §5 Registration Obligation Distinguish two types of exemptions set forth in the 1933 Act, Section 3(a)(11), Section 4(2), Scope of Regulation D, Rule 506 Safe Harbor for Private Placements, The Limited Offering Exemptions, The Other §3(b) Exemptions, §4(6); Resales of Securities by Non Issuers General Background, Selling for an Issuer in Connection with a Distribution, Purchasing Securities from an Issuer With a View to Distribution, Scope of Protection Offered by Rule 144; Express Civil Liability Provisions of the 1933 Act Introduction, Fraud Remedy, Rescission Remedy