| | |
Casebook (3d) |
E&E | Supplemental
Reading [visitors] |
|
Introduction |
1:1-22 |
1 | Crash
of '29 |
2 | |
1:22-47 |
1 | The
Essential Role of Securities Regulation |
3 |
Materiality |
2:48-58 |
3 | Rule
12b-20; Reg S-K Item
303(a) |
4 | |
2:58-78 |
3 |
'34 Act 10(b); Rule 10b-5;SAB 99 |
5 | |
2:78-98 |
3 | Reg
S-K Items 401(e), (f);
403(c); 404 |
6 |
"Security" |
3:99-112 |
2 | '33
Act 2(a)(1) |
7 | |
3:112-135 |
2 |
The
original "Ponzi schme" / Detecting fraud |
8 |
|
3:135-154 |
2 |
'33
Act 2(a)(1) |
9
|
|
3:154-167 |
2 |
'33
Act 2(a)(1) 3(a)(3);
'34 Act 3(a)(10) |
10 |
Public
Offerings |
7:391-404 |
4 |
Form
S-1, Form S-3, Form SB-1, Form SB-2 |
11 |
|
7:404-421 |
4 |
'33
Act 2(a)(3), (10), 5,
10;
Rules
135, 163, 163A, 168, 169, |
12 |
|
7:421-438 |
4 |
'33
Act 4(3), 4(4); Rules
134, 164, 430, 433 [handout] |
13 |
|
7:439-451 |
4 |
'33
Act 8, 10(a);Rules 137, 138, 139, 174, 430A,
434;
Rule
15c2-8 |
14 |
|
7 |
4 |
Netflix IPO [Q&A] [S1 - 5th] [final prospectus] [chart] |
15 |
'33
Act Liability |
8:467-491 |
6 |
'33
Act 6(a), 11,
12, 13, 14, 15; Rule
176 |
16 |
|
8:491-503, 457-466 |
6 |
'33Act
11 |
17 |
|
8:504-512 |
6 |
'33Act
11 |
18 |
|
8:513-520 |
6 |
'33Act
12(a)(1) |
19 |
|
8:520-538 |
6 |
'33
Act 2(a)(3), 2(a)(10), 2(a)(11), 10,
12 |
20 |
Exempt
Offerings |
9:539-549 |
5 |
'33 Act
4(2) / Wake Up |
21 |
|
9:549-567 |
5 |
Rules
135c, 152, 155, Reg
D (all) |
22 |
|
9:567-583 |
5 |
Reg
D (all) Reg
A |
23 |
|
9:583-598 |
5 |
'33Act
3(a)(11) ;
Rule 147 |
24 |
|
9:598-613 |
13.1 |
Reg
S |
25 |
Secondary
Distrib |
10:614-624 |
7 |
'33Act
2(a)(3), (11), (12), 4(1),
(3), (4); 5 |
26 |
|
10:624-631 |
7 |
'33
Act 4(1), 4(2) / Rule
144A |
27 |
|
10:631-642 |
7 |
Rule
144 / "Island Tours" handout |
28 |
|
10:642-651 |
7 |
Rule
144A |
29 |
Disclosure/Accuracy |
4:168-187 |
8 |
'34
Act 12(a), 13(a), 15(d), Forms
8-K, 10-K; Rule
12g-1 / SecMkts |
30 |
|
4:188-206 |
10.4 |
Reg
FD [Debate on selective disclosure- Yes / No], 205 , Blog? lawyer |
31 |
Rule
10b-5 |
5:207-215 |
9 |
'34
Act 10(b); 9; 18; Rule 10b-5; Rule
10b-18 // Section 10(b) hypos |
32 |
|
5:215-226 |
9 |
'34
Act 10(b);Rule 10b-5 |
33 |
|
5:226-238 |
9 |
'34
Act 21D; In re Cendant (on remand) / Settlements 2007 |
34 |
|
5:271-293 |
9 |
'34
Act 21E |
35 |
|
5:239-259 |
9 |
'34
Act 21D |
36 |
|
5:259-271 |
9 |
'34
Act 21D |
37 |
|
5:272-293 |
9 |
34
Act 10(b);20(a);Rule 10b-5 |
38 |
|
5:293-318 |
9 |
'34
Act 21D |
39 |
|
5:318-335 |
9 |
'34
Act 21D; Dodd-Frank |
40 |
|
6:336-351 |
10 |
'34 Act 10(b); Rule 10b-5;Rule 10b-18 |
41 |
|
6:351-359 |
10 |
'34 Act 10(b); Rule 10b-5 |
42 |
|
6:360-385 |
10 |
'34 Act 10(b); Rule 10b-5; Rule 14e-3 |
43 |
|
6:385-390 |
10 |
'34 Act 16 |
44 |
|
12:702-724 |
11,12 |
MF overview |
45 |
|
12:724-742 |
11,12 |
MF overview |
