SECURITIES AND OTHER FINANCIAL PRODUCTS
NEW EDITION
SECURITIES LITIGATION A PRACTITIONER’S GUIDE
Edited by Lyle Roberts (Shearman & Sterling LLP) and Jonathan K. Youngwood (Simpson Thacher & Bartlett LLP)
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 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.
Securities Litigation: A Practitioner’s Guide is a first-stop, comprehensive reference tool that supports securities law litigators throughout the life cycle of a securities lawsuit, from the filing of a complaint through the case’s conclusion. Clearly organized into chapters focused on specific legal issues, the book examines key substantive, procedural, and strategic issues related to each stage of litigation, including an analysis of pleading requirements, discovery, class certification, loss causation, experts, summary judgment, trial, settlement, and more. The book also includes chapters covering the defense of specific types of claims brought under the Securities Act of 1933 and the Exchange Act of 1934, and chapters on several topics closely related to the defense of securities class action litigation, including settlement, indemnification and D&O insurance, SEC enforcement actions, and derivative litigation. Prepared by leading and highly experienced securities litigators, each chapter offers an in-depth examination of the law governing each stage of securities litigation and provides practitioners with detailed analyses of key issues as well as practical tips and strategic guidance to support practitioners throughout case planning, discovery, damages, trial, settlement, and indemnification. An easy-to-use reference tool, this guide will save securities litigators significant time and effort, particularly with respect to legal research. Fully updated every year, Securities Litigation discusses the impact of important legal developments to help securities litigation practitioners, in-house counsel, compliance officers, investors, federal and state regulators, and professors of all levels of experience stay up to date on the latest trends and key developments in securities litigation, including “event-driven” lawsuits brought by investors, “safe harbor” protection, loss causation and damages, corrective disclosures, materialization of risk, aggregate damages, corporate indemnification, D&O insurance, and carrier consent to settlement. Ever-changing regulations can quickly redefine securities litigation best practices.
PLI’s Upkeep Service can help you plan around these developments. 1 looseleaf volume, 886 pages, $515, Item #397837, ISBN 978-1-4024-4605-4, Updated annually or as needed
1 looseleaf volume, 910 pages, $788, Item #38162, ISBN 978-1-4024-1896-9, Updated annually or as needed
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. 2 looseleaf volumes, 3,406 pages, $557, Item #32777, ISBN 978-1-4024-1642-2, Updated annually or as needed
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