SECURITIES AND OTHER FINANCIAL PRODUCTS
SECURITIES LITIGATION A PRACTITIONER ’ S GUIDE
Gibson , Dunn & Crutcher LLP Edited by Lyle Roberts and Jonathan K . Youngwood
This guide helps litigators at all experience levels master the concepts , tactics , and strategies necessary to successfully pilot securities-related disputes from start to finish . The editors , a quartet of esteemed securities litigators , present comprehensive , real-world viewpoints on the skills , strategies , and knowledge required to help clients prevail at trial or during settlement discussions . Readers can access forms that will help guide their litigation drafting , including useful templates for settlement work and continuance requests .
Practitioners will find value in this treatise ’ s coverage of pertinent class action procedural rules , effective claim defenses , juror persuasion tactics , and appellate review standards . Regulators , business leaders , and professionals can also receive an inside look into the securities litigation trial process and review witness and testimony strategies designed to help their performance at court .
Ever-changing regulations can quickly redefine securities litigation best practices . PLI ’ s Upkeep Service can help you plan around these developments .
1 looseleaf volume , 1,444 pages , $ 462 , Item # 177262 , ISBN 978-1-4024-2734-3 , Updated annually or as needed
CONTENTS
1 Basic Claims Under the Federal Securities Laws 2 Pleading Standards 3 Automatic Stay of Discovery Under the PSLRA 4 Lead Plaintiffs Under the PSLRA 5 The Safe Harbor Provision of the PSLRA for
Forward-Looking Statements 6 Class Certification in Securities Cases 7 Loss Causation and Damages 8 Summary Judgment 9 Defending Claims Under the Securities Act of 1933 10 Trial of a Securities Class Action 11 Appeals 12 Settlement 13 Indemnification and D & O Insurance 14 SEC Investigations and Enforcement Actions 15 ERISA Litigation 16 Developments Under the Securities Litigation
Uniform Standards Act 17 Mergers & Acquisitions Litigation 18 Derivative Litigation and Pre-Suit Demands
Index
THE SECURITIES LAW OF PUBLIC FINANCE
Robert A . Fippinger ( Retired , Municipal Securities Rulemaking Board ( MSRB ))
This treatise investigates the legal , issuance , trading , and disclosure concerns around municipal securities . Its author , a respected practitioner and professor in securities finance , imparts takeaways from his 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 , 2,746 pages , $ 557 , Item # 32777 , ISBN 978-1-4024-1642-2 , Updated annually or as needed
CONTENTS
VOLUME 1 PART I : INTRODUCTION 1 Distinguishing the Securities Law of Public Finance from the Securities Law of Corporate Finance
PART II : STRUCTURES OF NEW ISSUES , INVESTMENT VEHICLES , AND DERIVATIVES PRODUCTS 2 1933 Act Exempt Securities in
Public Finance 2A Exempt Transactions and Bank
Direct Purchases 3 Investment Company Products in
Public Finance
4 Asset-Backed Securities , Derivatives and Other Financial Products
PART III : LEGAL ISSUES IN THE DISTRIBUTION OF NEW ISSUES OF MUNICIPAL SECURITIES
5 New Issue Timing Under Contract Law and Securities Law from Preliminary Official Statement to Closing
6 Dissemination of New Issue Offering Documents
7 Underwriters ’ Due Diligence on New Issues of Municipal Securities
8 Disclosure Issues
8A Cybersecurity and Municipal
Securities Considerations 9 Continuing Disclosure
VOLUME 2 PART IV : REGULATED ENTITIES IN PUBLIC FINANCE
10 General Issues in the Regulation of Municipal Broker-Dealers 10A MSRB Broker-Dealer Rules 10B Regulation of Municipal Broker-
Dealers in Private Placements 10C Broker-Dealer Regulation Related to Municipal Fund Securities 11 Municipal Advisor Regulation 12 Investment Adviser Regulation 13 Developments in the Municipal
Securities Marketplace
PART V : PUBLIC FINANCE LITIGATION AND ENFORCEMENT
14 Fraud Concepts in Public Finance
15 SEC Enforcement Powers and Criminal Violations
16 Sovereign Immunity , State Boycott Restrictions , and Other State Law Issues in Public Finance
Table of Authorities Index
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