SECURITIES AND OTHER FINANCIAL PRODUCTS
SECURITIES AND OTHER FINANCIAL PRODUCTS
The Securities Law of Public Finance Robert A. Fippinger (Retired, Municipal Securities Rulemaking Board (MSRB)), Peg Henry (Stifel Financial Corp.), and Ernesto A. Lanza (Municipal Securities Rulemaking Board (MSRB)) This treatise investigates the legal, issuance, trading, and disclosure concerns around municipal securities. Its authors impart takeaways from their contributions to the MSRB and other experiences. Cited by the SEC for its excellence in illuminating legal issues, this text offers practical suggestions on disclosure and fraud issues, especially sovereign immunity defense concerns. Anyone who trades in or advises stakeholders on municipal securities will find analysis on exempt transactions, “separate securities,” new issue distributions, due diligence, asset-backed securities, and SEC enforcement trends. Owners will also find a helpful requirements list covering alternative trading systems subject to Regulation ATS. Overlooking key municipal securities developments will disadvantage practitioners. PLI’s Upkeep Service can help readers stay ahead.
Securities Law and Practice Deskbook Gary M. Brown (Nelson Mullins Riley & Scarborough LLP) This one-volume work offers tailored advice on best practices for addressing common and sophisticated securities law issues. Its author frequently teaches and has chaired securities law programs at PLI and SECI. Securities attorneys and corporate in-house
Securities Investigations Internal, Civil and Criminal
Ladan F. Stewart (White & Case LLP)
This work explores the practical strategies and legal knowledge necessary for attorneys and stakeholders to successfully manage and troubleshoot securities investigations. The book’s authors
1 looseleaf volume, 868 pages, $536, Item #435718, ISBN 978-1-4024-4932-1, Updated annually or as needed
1 looseleaf volume, 922 pages, $820, Item #38162, ISBN 978-1-4024-1896-9, Updated annually or as needed
2 looseleaf volumes, 3,138 pages, $608, Item #423115, ISBN 978-1-4024-4827-0, Updated annually or as needed
share their inside strategies for responding to and managing internal, civil, and criminal investigations requested by state attorneys general and agencies such as the SEC, CFTC, FINRA, DOJ, and CME. Lawyers, business leaders, and anyone who addresses SEC investigations will find actionable tactics addressing internal and grand jury investigations, compliance programs, the protection of a client’s interests, grand jury testimonies, whistleblower protections, and privacy concerns. Violating new regulations can invite increased SEC oversight. PLI’s Upkeep Service can help readers address these developments.
practitioners will find helpful guidance on troubleshooting issues around the Securities Act registration process; Exchange Act registration and reporting; registration exemptions under Regulation A, Regulation D, and crowdfunding provisions; resales of restricted and control securities; and minimizing liability risk from Regulation FD, clawback rules, and various Exchange Act provisions. Readers can also access a Rule 144 decision tree and forms covering required crowdfunding disclosures and proxy timetables. Receive ongoing securities law updates with PLI’s Upkeep Service.
Exempt and Hybrid Securities Offerings Edited by Anna T. Pinedo (Mayer Brown LLP) and James R. Tanenbaum (Tanenbaum Advisory LLC)
“A decade ago, I sat at counsel table and watched Gene Ingoglia describe the SEC’s downstream tippee insider trade case to the jury as relying on the ‘Ajax and Cinemax theory of personal benefit.’ From that moment forward, I knew that there is no practitioner better able to bring insider trading law and compliance to life than Gene.” — Sean Hecker , Partner, Hecker Fink LLP
This three-volume treatise guides anyone who counsels or oversees exempt and hybrid securities offerings through the advantages, drawbacks, and regulatory considerations encountered when working on them. The authors have substantial backgrounds in structuring complex domestic and international capital markets transactions, and offer practical strategies that can be utilized when working on upcoming offerings. Readers will find more than 40 editable forms, checklists, timelines, sample terms, and notices they can reference as they draft important offering documents. They will also find timely discussions on a wide array of regulatory considerations. Receive up-to-date guidance and practices with PLI’s Upkeep Service.
Insider Trading Eugene Ingoglia (Esseks Ingoglia)
3 looseleaf volumes or digital, 3,396 pages, $732, Item #320116, ISBN 978-1-4024-3907-0, Updated as needed
This comprehensive guide provides practitioners and investors with a multidimensional understanding of insider trading law, covering civil, criminal, transactional, bankruptcy, and regulatory perspectives. Edited by a leading expert who has both prosecuted and defended insider trading cases, the treatise offers practical advice and expert insight into every critical aspect of the subject. Readers will learn how to craft effective insider trading compliance programs; understand the statutory background, claim elements, theories of liability, and nuances of applicability; decipher trends in insider trading enforcement; and assess potential penalties while strategizing defense of civil and criminal enforcement actions. Insider trading law continues to evolve, reshaping obligations for market participants. PLI’s Upkeep Service helps attorneys and compliance professionals stay informed and plan accordingly to avoid penalties.
1 looseleaf volume, 754 pages, $312, Item #422940, ISBN 978-1-4024-4816-4, Updated annually or as needed
These titles are available on PLI PLUS. Learn more on page 68.
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