Course Handbook  Course Handbook

SEC Reporting and Practice Skills Workshop for Lawyers 2019

Publication Date: January 2019 Number of Volumes: 1
ISBN Number: na Page Count: 518 pages

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Table of Contents
Chapter 1: Gary M. Brown, Ch. 1: Approaching Securities Law, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) (Last updated: April 2017)
Chapter 2: SEC Institute, Interesting Web Sites for Public Companies
Chapter 3: U.S. Securities and Exchange Commission, Division of Corporation Finance, Filing Review Process (June 27, 2018)
Chapter 4: Gary M. Brown, Regulation FD Template: Policy on Communicating with Analysts, Security Holders and Others
Chapter 5: Gary M. Brown, Template: Press Release with Safe-Harbor Statement
Chapter 6: Gary M. Brown, Ch. 3: Regulatory Framework of Securities Act Registration, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) (Last updated: September 2018)
Chapter 7: Gary M. Brown, Ch. 9: Registration and Periodic Reporting Under the Exchange Act, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) (Last updated: September 2018)
Chapter 8: SEC Institute, Form 10-Q (Revised October 2018)
Chapter 9: Charles F. Walker, Alexandra M. Arango and Sydney P. Sgambato, Skadden, Arps, Slate, Meagher & Flom LLP, Appearing and Practicing Before the SEC: Ethical Considerations for Corporate Counsel (October 2018)
Chapter 10: Lori B. Metrock, Ethical Dilemmas in Preparation and Review of SEC Filings (November 2016)
Chapter 11: SEC Institute, Form 8-K: General Filing Requirements (Revised October 2018)
Chapter 12: Nelson Mullins, Form 8-K Quick Reference Guide
Chapter 13: Gary M. Brown, Ch.10: Regulation of Proxy Solicitations, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) (Last updated: September 2018)
Chapter 14: U.S. Securities and Exchange Commission, Staff Observations in the Review of Executive Compensation Disclosure (October 9, 2007)
Chapter 15: Gary M. Brown, Template: Related Party Transactions Policy
Chapter 16: SEC Institute, Reminder List—A Creative Approach to Writing Your MD&A (Revised October 2018)
Chapter 17: SEC Institute, SEC Guidance for Non-GAAP Measures (Revised October 2018)
Chapter 18: Boris Feldman, Wilson Sonsini Goodrich & Rosati, Navigating the Safe Harbor for Forward-Looking Statements
Chapter 19: United States of America Before the Securities and Exchange Commission, Exchange Release No. 80947, AAER No. 3877, Administrative Proceeding File No. 3-18024, In the Matter of Eric W. Kirchner and Richard G. Rodick, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order (June 15, 2017)
Chapter 20: Gary M. Brown, Template: Trading Plan
Chapter 21: Gary M. Brown, Template: Insider Trading Compliance Policy
Chapter 22: Gary M. Brown, Template: Social Media Policy
Chapter 23: Gary M. Brown, Table 7-1: Rule 144 Decision Tree, Ch. 7: Resale of Securities Under the Securities Act, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) (Last updated: March 2018)
Chapter 24: Gary M. Brown, Table 7-2: Comparison of Rule 144A, the 4(a)(1½) Exemption and Section 4(a)(7) for Private Resale Transaction, Ch. 7: Resale of Securities Under the Securities Act, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition) (Last updated: March 2018)

This Course Handbook was compiled for the program, SEC Reporting and Practice Skills Workshop for Lawyers 2019.

PLI’s nationally acclaimed course handbooks represent the definitive thinking on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Gary M. Brown, Nelson Mullins Riley & Scarborough LLP
George M. Wilson, SEC Institute, a Division of PLI
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