Chapter 1. Introduction
I. History (s 1:1)
II. A General Overview of Securities Regulation (ss 1:2 to 1:14)
III. Historical and Theoretical Development of "Security" Definition
(ss 1:15 to 1:40)
IV. Differences Between Federal and State Acts (s 1:41)
V. Regulatory Philosophies (ss 1:42 to 1:66)
VI. Differences in Focus (s 1:67)
VII. General Organization of the Securities Acts (ss 1:68 to 1:75)
VIII. Conclusion (s 1:76)
Chapter 2. What Is a Security?
I. Overview (s 2:1)
II. Any Note (ss 2:2 to 2:19)
III. Evidence of Indebtedness (ss 2:20 to 2:31)
IV. Stock (ss 2:32 to 2:39)
V. Investment Contracts (ss 2:40 to 2:86)
VI. Certificates of Interest or Participation in Any Profit-Sharing Agreement
(s 2:87)
VII. Instruments Commonly Known as Securities (s 2:88)
VIII. Miscellaneous Securities (ss 2:89 to 2:91)
Chapter 3. A Practical Approach to Securities
I. Introduction (s 3:1)
II. Investment Contracts--Viatical Settlements (ss 3:2 to 3:16.20)
III. Investment Contracts--Lloyd's of London Memberships (ss 3:17 to 3:36)
IV. General Partnerships and Limited Liability Partnership Interests (s 3:37)
V. Joint Ventures Interests (s 3:38)
VI. Limited Partnership Interests (s 3:39)
VII. Limited Liability Company Interests (ss 3:40 to 3:49)
Chapter 4. Conflict of Laws Or, When Does a Transaction Take Place in This
State?
I. Overview (s 4:1)
II. Choice of Jurisdictional Basis for the Act (ss 4:2 to 4:6)
III. General Outline of Section 414 (s 4:7)
IV. Sellers (ss 4:8 to 4:40)
V. Sellers II: Offers to Buy Made in State (ss 4:41 to 4:43)
VI. Choice of Laws Clauses (ss 4:44 to 4:57)
Chapter 5. Federal Pre-Emption
I. Introduction (s 5:1)
II. Extent of Pre-Emption (ss 5:2 to 5:13)
III. What Is Not Pre-Empted in Connection with "Covered Securities" (ss
5:14 to 5:17)
IV. "Covered Securities" (ss 5:18 to 5:26)
Chapter 6. Securities Exemptions
I. Introduction (ss 6:1, 6:2)
II. Extent of Exemptions (ss 6:3 to 6:6)
III. Burden of Proof (s 6:7)
IV. Government Securities Exemption (ss 6:8 to 6:12)
V. Foreign Government Exemption (s 6:13)
VI. Overview of Financial Institution Exemptions (s 6:14)
VII. Bank Exemption (ss 6:15 to 6:20)
VIII. Savings and Loan and Building and Loan Exemption (ss 6:21 to 6:24)
IX. Credit Union Exemption (ss 6:25 to 6:28)
X. Nonprofit Charitable Securities Exemption (ss 6:29 to 6:45)
XI. Commercial Paper Exemption (ss 6:46 to 6:53)
Chapter 7. Transactional Exemptions
I. In General (s 7:1)
II. Manual Exemption (ss 7:2 to 7:9)
III. Unsolicited Offer Exemption (ss 7:10 to 7:12)
IV. Institutional Investor Exemption (ss 7:13 to 7:19)
V. Small Offering Exemption (ss 7:20 to 7:31)
VI. Federal-State Coordinated Limited Offering Exemption (ss 7:32 to 7:107)
Chapter 8. Broker-Dealers and Investment Advisers
I. Overview (ss 8:1 to 8:18)
II. Agents (ss 8:19 to 8:56)
III. Broker-Dealers (ss 8:57 to 8:70)
IV. Investment Adviser (ss 8:71 to 8:82)
Chapter 9. Civil Liability
I. Introduction (ss 9:1 to 9:34)
II. Offer or Sale by Defendant (ss 9:35 to 9:37)
III. Security (s 9:38)
IV. In This State (s 9:39)
V. "Purchaser" (s 9:40)
VI. Statutory Violation (ss 9:41 to 9:50)
VII. Seller (ss 9:51 to 9:69)
VIII. Statutory Secondary Civil Liability (ss 9:70 to 9:101)
IX. Common Law Liability (ss 9:102 to 9:125)
X. Common Law Defenses (ss 9:126 to 9:151)
Chapter 10. Criminal Liability
I. Introduction (s 10:1)
II. Nonregistration of Securities
-->
