内容

目次

（現物確認済み） 1. Overview of Federal and State Securities Legislation Part I: OVERVIEW 1.01 Introduction -What are the Federal Securities Laws? Part II: ANALYSIS 1.02 Relationship with Other Laws 1.03 What is the Role of the Securities and Exchange Commission? 1.04 What is the Interplay of Federal Law and State "Blue Sky" Laws? Part III: PRACTICE RESOURCES 1.05 LexisNexis Securities Area of Law Page 1.06 Treatises and Analysis 1.07 Statutes 1.08 Other Sources 2. Overview of Securities Offering Regulation under the Securities Act of 1933 Part I: OVERVIEW 2.01 Introduction Part II: ANALYSIS 2.02 Determining When 1933 Act Registration is Required 2.03 Threshold issue: Determining What Constitutes a "Security" 2.04 Determining What Constitutes a "Sale" Or an "Offer to Sell" a Security 2.05 Determining Who are the "Issuers" and "Control Persons" in an Offer of Securities 2.06 Determining Who Would be Deemed an "Underwriter" in an Offer of Securities 2.07 Defining "Prospectus" and Determining When an Offer of Securities Must Be Accompanied by a Prospectus Part III: PRACTICE RESOURCES 2.08 LexisNexis Securities Area of Law Page 2.09 Treatises and other Analytical Materials 2.10 Statutes 2.11 Cases 3. Exemptions from 1933 Act Registration-Exempt Securities and Exempt Transactions Part I: OVERVIEW 3.01 Introduction Part II: ANALYSIS 3.02 Determining If a Type of "SECURITY" Offered to Investors Is Exempt from Registration Under Section 5 of the Securities Act 3.03 Determining if a "TRANSACTION IN SECURITIES" is Exempt from Registration Under Section 5 3.04 How to Effect Resales of Restricted Securities Outside of Registration 3.05 Selling Securities Offshore Under Regulation S without Securities Act Registration 3.06 Other Regulatory Exemptions 3.07 Conducting a "PRIVATE OFFERING" 3.08 Liabilities For Non-Compliance with an Exemption Part III: PRACTICE RESOURCES 3.09 LexisNexis Securities Area of Law Page 3.10 Treatises and other Analytical Materials 3.11 Statutes 3.12 Cases and SEC Releases 4. Becoming a Public Reporting Company through the Initial Offering Process (IPO) Part I: OVERVIEW 4.01 Introduction Part II: ANALYSIS 4.02 What are the Advantages and Disadvantages of Becoming a Public Reporting Company? 4.03 Doing your Corporate Housekeeping Before your IPO 4.04 Working with Underwriters and Underwriting Documentation 4.05 Drafting and Filing the Registration Statement 4.06 Limiting Communications During the Offering Process 4.07 Independent Auditors and the Issuer’s Financial Statements 4.08 Conducting the Offering 4.09 Listing an IPO on a Securities Trading Exchange Part III: PRACTICE RESOURCES 4.10 Practice Resources 5. Public Offerings by Public Companies Part I: OVERVIEW 5.01 Introduction Part II: ANALYSIS 5.02 Choosing the Right Registration Form - Form S-1, S-3 5.03 Setting up an Offering on a Delayed Basis through Shelf Registration 5.04 Preparing the Registration Statement 5.05 Performing Due Diligence 5.06 Abbreviated Registration Process for "Well-Known Seasoned Issuers" (WKSIs) 5.07 What are the Differing Requirements for Foreign Private Issuers? Part III: PRACTICE RESOURCES 5.08 LexisNexis Securities Area of Law Page 5.09 Treatises and other Analytical Materials 5.10 Cases 6. Exchange Offers Part I: OVERVIEW 6.01 Introduction Part II: ANALYSIS 6.02 High Yield Debt Securities and the A/B Exchange Offer Process 6.03 When is an A/B Exchange Offer and Available Option? 6.04 Conducting an A/B Exchange Offer Using Form S-4 6.05 Conducting an A/B Exchange Offer Part III: PRACTICE RESOURCES 6.06 LexisNexis Securities Area of Law Page 6.07 Treatises and Analytical Materials 6.08 SEC No-Action Letters 7. Specialized Offerings Part I: OVERVIEW 7.01 Introduction Part II: ANALYSIS 7.02 Navigating Regulation AB 7.03 Conducting A PIPE Offering 7.04 Conducting A SPAC Offering 7.05 Business Development Companies Part III: PRACTICE RESOURCES 7.06 LexisNexis Securities Area of Law Page 7.07 Treatises / Journals / Law Reviews 7.08 Statutes 7.09 SEC Materials 7.10 Other Materials 8. Reporting Requirements for Publicly Held Companies under the Securities Exchange Act of 1934 Part I: OVERVIEW 8.01 Introduction Part II: ANALYSIS 8.02 The Section 12 Registration Requirements 8.03 Ongoing Reporting Requirements - Periodic Reports 8.04 Ongoing Reporting Requirements - Current reports on Form 8-K 8.05 Regulation FD - "Fair Disclosure" Part III: PRACTICE RESOURCES 8.06 Treatises, Forms and other Analytical Materials 8.07 Statutes APPENDIX 8-A 9. Navigating the Proxy Rules Part I: OVERVIEW 9.01 Introduction Part II: ANALYSIS 9.02 What are the Proxy Rules? 9.03 Preparing the Annual Meeting Proxy Statement 9.04 Dealing with Shareholder Proposals 9.05 Conducting the Annual Meeting 9.06 Navigating Proxy Contests Part III: PRACTICE RESOURCES 9.07 LexisNexis Securities Area of Law Page 9.08 Treatises 9.09 Statutes and Other Guidance 10. Tender Offers Part I: OVERVIEW 10.01 Introduction Part II: ANALYSIS 10.02 Determining What constitutes a Third-Party Tender Offer 10.03 Acquisitions of a Company 10.04 Issuer Tender Offers 10.05 Going Private Transactions Part III: PRACTICE RESOURCES 10.06 LexisNexis Securities Area of Law Page 10.07 Treatises and Analytical Materials 10.08 Primary Source (Rules, SEC Releases and SEC Forms) 11. Disclosure Requirements for, and Trading Restrictions on, Insiders and Significant Shareholders of Public Companies Part I: OVERVIEW 11.01 Introduction Part II: ANALYSIS 11.02 Section 16 11.03 Reporting Pursuant to Section 13 Part III: PRACTICE RESOURCES 11.04 LexisNexis Securities Area of Law Page 11.05 Treatises and Analytical Materials 11.06 Statutes 12. Civil Liabilities Part I: OVERVIEW 12.01 Introduction Part II: ANALYSIS 12.02 elements of a Rule 10b-5 Claim 12.03 Other Private Causes of Action 12.04 Secondary Liability - Controlling Persons 12.05 Contribution and Proportionate Liability 12.06 Statutes of Limitation 12.07 Pleading Requirements 12.08 Class Actions Part III: PRACTICE RESOURCES 12.09 LexisNexis Securities Area of Law Page 12.10 Treatises and Analytical Materials 12.11 Other Resources 12.12 Statutes Index