Securities Regulations

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 SEC's System of Integrated Disclosure, Shelf Registration Procedures, SEC's 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, Ch