Sample Syllabus (3 unit course) Click here to download this Syllabi
Class
No. |
Pages |
Subject |
Statutes and Rules |
|
Introduction
|
1
|
1-22
|
|
|
Introduction
|
2
|
22-43
|
|
|
Materiality
|
3
|
44-67
|
Exchange Act
Rules 10b-5, 12b-20; Regulation S-K Item 303(a)
|
|
Materiality
|
4
|
67-76
|
Regulation S-K
Item 103
|
|
Materiality
|
5
|
76-87
|
Regulation S-K Items 401,
403, 404, 406
|
|
Definition of “Security”
|
6
|
88-109
|
Securities Act § 2 (a)(1)
|
|
Definition of “Security”
|
7
|
109-131
|
|
|
Definition of
“Security”
|
8
|
131-148
|
Securities Act § 3(a)(3);
Exchange Act § 3 (a)(10)
|
|
Disclosure & Accuracy
|
9
|
149-174
|
Exchange Act §§ 12(a),
13(a), 15(d); Forms 8-K, 10-K; Rule 12g-1, 13a-14
|
|
Disclosure & Accuracy
|
10
|
174-186
|
Exchange Act §§ 4C, 10A, 13(b); Exchange Act Rule 13a-1;
Sarbanes-Oxley Act § 304; SEC Rules
of Practice 102(e), 205
|
|
Rule 10b-5
|
11
|
238-259
|
Exchange Act § 10(b); Rule
10b-5
|
|
Rule 10b-5
|
12
|
271-286
|
Exchange Act § 21E
|
|
Rule 10b-5
|
13
|
286- 305
|
Exchange Act § 21D(b)
|
|
Rule 10b-5
|
14
|
308-320
|
Exchange Act § 21D(b)(4)
|
|
Rule 10b-5
|
15
|
321-335; 341-343; 350
|
Exchange Act §§ 20(e);
21D(f)
|
|
Insider Trading
|
16
|
351-366
|
Exchange Act § 20(d)
|
|
Insider Trading
|
17
|
366-375
|
Rule 10b5-1
|
|
Insider Trading
|
18
|
375-384
|
Regulation FD
|
|
Insider Trading
|
19
|
384-400
|
Exchange Act §§ 14(e),
20A, 21A; Rule 10b5-2; Rule 14e-3
|
|
Public Offerings
|
20
|
415-436
|
Securities Act §§ 2(a)(3), (10); 5; 10; Form S-3 Gen.
Inst. I
|
|
Public Offerings
|
21
|
436-447
|
Securities Act §§ 2(a)(3), (10); 5(a), (c); Securities
Act Rules 135, 163A, 168, 169, 405, 433
|
|
Public Offerings
|
22
|
447-458
|
Securities Act §§
2(a)(11), 10(b); Rules 134, 164, 405, 430, 433
|
|
Public Offerings
|
23
|
459-464
|
Securities Act §§ 4(1),
(3),(4); Rules 137, 138, 139
|
|
Public Offerings
|
24
|
464-476
|
Securities Act §§ 2(a)(10), 8, 10(a); Rules 172, 173,
174, 430A, 434; Regulation S-K Item 512(i); Exchange Act Rule 15c2-8
|
|
Public Offerings
|
25
|
482-491
|
Securities Act § 2(a)(3);
Rules 413, 415, 424, 430; Regulation S-K Item 512(a)
|
|
Public Offerings
|
26
|
Overflow & summary
|
|
|
Securities Act Liability
|
27
|
492-505
|
Securities Act §§ 6(a),
11, 13, 15;
|
|
Securities Act Liability
|
28
|
505-530
|
Securities Act § 13; Rules
158, 176
|
|
Securities Act Liability
|
29
|
530-531; 543-550
|
Securities Act §§ 12(a)(1)
|
|
Securities Act Liability
|
30
|
550-566
|
Securities Act §§ 2(a)(3),
(10), (11), 10, 12(a)(2); Rules 159, 159A
|
|
Exempt Offerings
|
31
|
567-578
|
Securities Act § 4(2)
|
|
Exempt Offerings
|
32 &
33
|
578-602
|
Securities Act Rules 135c,
152, 155; Regulation D: Preliminary Notes, Rules 501 (a), (e), (f), (h), 502,
504, 505, 506, 507, 508
|
|
Exempt Offerings
|
34
|
631-645
|
Regulation S
|
|
Secondary Distributions
|
35
|
646-657
|
Securities Act §§ 2(a)(3),
(11), (12); 4(1), (3), (4); 5
|
|
Secondary Distributions
|
36
|
657-663
|
Securities Act §§
2(a)(11), 4(1), (2), (3), (4); Rule
405
|
|
Secondary Distributions
|
37
|
663-674
|
Securities Act Rule 144
|
|
Secondary
Distributions
|
38
|
674-683
|
Securities Act Rule 144A
|
|
Overflow & Review
|
39
|
|
|
|
Sample Syllabus (4 unit course)
Class
No. |
Pages |
Subject |
Statutes and Rules |
1 |
1-46 |
Introduction |
|
2 |
47-58; 67-88 |
Materiality |
Exchange Act Rules 10b-5, 12b-20 |
3 |
103-134 |
Definition of "Security" |
Securities Act § 2 (a)(1);
Exchange Act § 3 (a)10 |
4 |
134-155 |
Definition of "Security" |
|
5 |
156-176, 186; Reg FD Supplement |
Disclosure & Accuracy |
Exchange Act §§ 9(a), 12(a), 13(b), (g), 15(d); Forms 8-K,
10-K; Rule 12g-1; Regulation FD |
6 |
250-283 |
Rule 10b-5 |
Exchange Act
§§ 21D, 21E; Rule 10b-5 |
7 |
283-315 |
Rule 10b-5 |
|
8 |
315-330 |
Rule 10b-5 |
Exchange Act
§ 20(a) |
9 |
330-356 |
Rule 10b-5 |
Exchange Act
§ 21D(f) |
10 |
409-423 |
Public Offerings |
Securities Act §§ 7(a), 8; Rule 421, Forms
S-1, S-3 |
11 |
423-437 |
Public Offerings |
Prospectus Drafting Exercise; Securities Act
§§ 2(a)(3), 2(a)(4), 2(a)(10), 2(a)(11), 4(1), 5, 10; Rules
135, 163, 163A, 168, 169, 405, 430, 433(e) |
12 |
437-453 |
Public Offerings |
Rules 134, 137, 139, 164, 433 |
13 |
453-463 |
Public Offerings |
Securities Act §§ 4(3), 4(4), 5(b)(2); Rules
172, 173, 174, 430(a), 430A |
14 |
470-479 |
Public Offerings |
Securities Act § 6(a); Rules 158(c), 173, 174(c), 415,
424(b)(2), (3), (5), (7), 430B; Regulation S-K Item 512(a) |
15 |
480-524 |
Securities Act Liability |
Securities Act §§ 6, 11, 15; Rule 176 |
16 |
528-550 |
Securities Act Liability |
Securities Act § 11, 12; Rule 159A |
17 |
551-562 |
Private Placements |
Securities Act § 4(2) |
18 |
562-575 |
Regulation D |
Securities Act §
3(b); Regulation D Notes, Rules 501, 502(c), 503-506 |
19 |
575-586 |
Regulation D |
Regulation D Rules 502(a), (b), (d),
508 |
20 |
586-599 |
Regulation A |
Regulation A Rules 251-255; 1001 |
21 |
632-660 |
Secondary Distributions |
Securities Act §§ 2(a)(4), 2(a)(11),
2(a)(12). 4(1); Rules
144, 405 (Definition of “Control”) |
22 |
660-667 |
Secondary Distributions |
Rule 144A |
23 |
668-680 |
Shareholder Voting |
Exchange Act § 14(a); Rules 14a-1, 14a-2,
14a-3, 14a-7, 14a-9, 14a-12; Skim Exchange Act Schedule 14A |
24 |
700-719 |
Shareholder Voting |
Exchange Act Rule 14a-8 |
23
(Alt.) |
357-380 |
Insider Trading |
|
24(Alt.) |
380-393 |
Insider Trading |
|
|
