Casebook (2d ed)
E&E (4th)
Supplemental Reading [visitors]
Introduction 1:1-22
1
Crash of '29
2
  1:23-43
1
The Essential Role of Securities Regulation
3
 Materiality 2:44-54
3
Rule 12b-20; Reg S-K Item 303(a)
4
  2:54-76
3
 '34 Act 10(b); Rule 10b-5;SAB 99
5
  2:76-87
3
Reg S-K Items 401(e), (f); 403(c); 404
6
 "Security" 3:88-101
2
'33 Act 2(a)(1)
7
  3:101-119
2
The original "Ponzi schme"
8
   3:119-137
2

'33 Act 2(a)(1)
9
  3:137-148
2

'33 Act 2(a)(1) 3(a)(3); '34 Act 3(a)(10)

10
 Public Offerings 7:415-430
4
 Form S-1, Form S-3, Form SB-1, Form SB-2
11
   7:430-447
4

'33 Act 2(a)(3), (10), 5, 10; Rules 135, 163, 163A, 168, 169,

12
   7:447-464
4
 '33 Act 4(3), 4(4); Rules 134, 164, 430, 433 [handout]
13
   7:464-476
4

'33 Act 8, 10(a);Rules 137, 138, 139, 174, 430A, 434; Rule 15c2-8
14
   7
4

Microsoft IPO (Form S-1, questions, Fortune, valuation); Netflix
15
 '33 Act Liability 8:492-517
6
 '33 Act 6(a), 11, 12, 13, 14, 15; Rule 176
16
   8:517-530
6

'33Act 11

17
   8:530-543
6

'33Act 11

18
   8:543-550
6
 '33Act 12(a)(1)
19
   8:550-566
6
 '33 Act 2(a)(3), 2(a)(10), 2(a)(11), 10, 12
20
 Exempt Offerings 9:567-578
5
 '33 Act 4(2) / Wake Up
21
   9:578-602
5
 Rules 135c, 152, 155, Reg D (all)
22
Skip
 9:602-614
5
 Reg A
23
   9:614-631
5
 '33Act 3(a)(11) ; Rule 147
24
Skip
 9:631-645
13.1
 Reg S
25
Monday, Mar 30
     Ashton Hudson - overview / VC intro / term sheet
26
 Secondary Distributions 10:646-657
7
 '33Act 2(a)(3), (11), (12), 4(1), (3), (4); 5
27
   10:657-663
7
 '33 Act 4(1), 4(2)
28
   10:663-674
7
 Rule 144
29
Skip
 10:674-683
7
 Rule 144A
30
 Disclosure / Accuracy 4:149-174
8
 '34 Act 12(a), 13(a), 15(d), Forms 8-K, 10-K; Rule 12g-1 / SecMkts
31
Skip

4:174-190
10.4
 Reg FD [Debate on selective disclosure- Yes / No], 205 , Blog?
32
Skip
 4:190-208
12.4
 '34 Act 4C, 10A, 13(b); SEC 205; MF overview
33
Skip
 4:208-230
12.1
 '34 Act 10(b), 14(e, 21C ;Rule 10b-5, 14e-3 / / lawyer / Opt-out / ZZZZ Best
34
Skip
 4:230-237
12.5
 '34 Act 10(b), 32 ;Rule 10b-5
35
 Rule 10b-5 5:238-248
9

'34 Act 10(b); 9; 18; Rule 10b-5; Rule 10b-18
36
   5:248-259
9
 '34 Act 10(b);Rule 10b-5
 
Wednesday, Apr 15
    Janine Pollack - Milberg Law Firm / bio / firm history / securities litigation
37
Skip
 5:259-271
9

'34 Act 21D; In re Cendant (on remand) / Settlements 2007

38
   5:271-293
9
 '34 Act 21E
37
   5:293-305
9
 '34 Act 21D
38
   5:305-320
9
 '34 Act 21D
39
Skip
 5:320-341
9
 34 Act 10(b);20(a);Rule 10b-5
40
Skip
 5:341-350
9
 '34 Act 21D
41
Insider trading
 6:351-366
10
 '34 Act 10(b); Rule 10b-5;Rule 10b-18
42
Skip
 6:366-384
10
 '34 Act 10(b); Rule 10b-5
43
Skip
6:384-401
10
 '34 Act 10(b); Rule 10b-5; Rule 14e-3
44
Skip
 6:401-414
10
 '34 Act 16
45
Takeover Regulation Skip
 12:749-766
8
 '34 Act 13(d); Schedule 13D, Schedule 13G
46
Skip
12:766-776
8
 '34 Act 14(d); Schedule TO
47
Skip
 12:776-790
8
 '34 Act 14(e);Rule 13e-4; Schedule 14D-9; Schedule 14E