Introduction

1

1-17

Introduction

2

17-47

Materiality

3

48-58

Exchange Act Rules 10b-5, 12b-20

Materiality

4

58-78

Regulation S-K Item 303(a)

Materiality

5

78-98

Regulation S-K Item 103, Regulation S-K Items 401, 403, 404, 406

Definition of “Security”

6

99-120

Securities Act § 2 (a)(1)

Definition of “Security”

7

120-148

Definition of “Security”

8

148-167

Securities Act § 3(a)(3); Exchange Act § 3 (a)(10)

Disclosure & Accuracy

9

168-188

Exchange Act §§ 12(a), 13(a), 15(d); Forms 8-K, 10-K; Rule 12g-1, 13a-14; Regulation S-K Item 303(a)

Disclosure & Accuracy

10

188-206

Exchange Act § 13(b); Exchange Act Rule 13a-1; Sarbanes-Oxley Act  § 304; Regulation FD

Rule 10b-5

11

207-226

Exchange Act § 10(b); Rule 10b-5

Rule 10b-5

12

226-248

Exchange Act § 21D(a)

Rule 10b-5

13

248-272

Exchange Act § 21E; Regulation S-K Item 303(a)

Rule 10b-5

14

272-293

Exchange Act § 21D(b)

Rule 10b-5

15

293-318

Exchange Act §§ 20(a),(e)

Rule 10b-5

16

318-335

Exchange Act §§ 21D(f), 28(a)

Insider Trading

17

336-351

Exchange Act § 20(d)

Insider Trading

18

351-369

Exchange Act § 14(e), Rules 10b5-1, 14e-3

Insider Trading

19

369-390

Exchange Act §§ 14(e), 16, 20A, 21A; Rules 10b5-2, 16b-3, 16b-6

Public Offerings

20

391-417

Securities Act §§ 2(a)(3), (10), (11); 5; 10; Rules135, 163A, 405; Form S-3 Gen. Inst. I

Public Offerings

21

417-427

Securities Act  §§ 2(a)(3), (10), (11); 5(a), (c), 10(b); Rules 134, 168, 169, 430

Public Offerings

22

427-435

Securities Act  §§ 2(a)(3), (10), (11); 5(a), (c), 10(b); Rules 135, 164, 433

Public Offerings

23

435-448

Securities Act §§ 2(a)(3), (10); 4(1), (3),(4); Rules 137, 138, 139, 172, 173,174, 424, 430, 430A, 434; Regulation S-K Item 512(i)

Public Offerings

24

448-457

Securities Act  §§ 8, 10(a); Rules 413; Exchange Act Rule 15c2-8; Regulation M; Regulation S-K Item 512(a)

Public Offerings

25

457-466

Securities Act Rules 415, 424(b), 430B

Securities Act Liability

26

467-479

Securities Act §§ 6(a), 11, 15

Securities Act Liability

27

479-509

Securities Act § 11(f),13

Securities Act Liability

28

513-538

Securities Act §§ 2(a)(3), (10), (11), 10, 12(a)(1), (2), 13; Rules 158, 159, 159A 176

Exempt Offerings

29

539-550

Securities Act § 4(2)

Exempt Offerings

30

550-579

Securities Act Rules 135c, 152, 155; Regulation D: Preliminary Notes, Rules 501 (a), (e), (f), (h), 502, 504, 505, 506, 507, 508

Exempt Offerings

31

598-613

Regulation S

Secondary Distributions

32

614-631

Securities Act §§ 2(a)(3), (11), (12); 4(1), (3), (4); 5

Secondary Distributions

33

631-643

Securities Act §§ 2(a)(11), 4(1), (2), (3), (4);  Rule 144, 405

Secondary Distributions

34

643-651

Securities Act Rule 144A

Gatekeepers

35

702-717

Exchange Act §§  4C, 10A

Gatekeepers

36

717-734

Exchange Act §§ 15E, 21D(b)(2)  ; SEC Rules of Practice 102(e), 205

Gatekeepers

37

734-742

Exchange Act § 21F; Rules 21F-1-17; 18 U.S.C. § 1514A

Overflow & Review

38-39