Digital Library
DIGITAL LIBRARY
The CADDS Digital Library is not a comprehensive resource, but rather an illustrative tool designed to facilitate learning and scholarship in the field. Please take a moment to make us aware of any public domain materials that you believe should be considered for inclusion. CONTACT US
Due Diligence-General
- NASD Special Report: Due Diligence Seminars
- “Report of [ABA] Task Force on Sellers’ Due Diligence and Similar Defenses Under the Federal Securities Laws”; The Business Lawyer Vol. 48, No. 3 (May 1993), pp. 1185-1241 Published by: American Bar Association
Escott v. BarChris Construction
- The Irrepressible Myths of Barchris
- Escott v. Barchris Construction Corp.
- Escott v. Barchris: How Much Diligence is Due; Lake, Clifton A.
- “BARCHRIS” AND THE SECURITIES ACTS: PRACTICAL RESPONSES FOR ATTORNEYS
- Underwriter Due Diligence In Securities Offerings
- Escott v. Barchris: “Reasonable Investigation” and Prospectus Liability under Section 11 of the Securities Act of 1933
- Escott v. Barchris Construction Corp.: Due Diligence Defenses under Section 11 of the Securities Act of 1933;
- Spence, Arthur G. THE EXPANDING LIABILITY OF SECURITIES UNDERWRITERS: FROM BARCHRIS TO GLOBUS
Feit v. Leasco
- TIMOTHY MEEHAN Appellant-Petitioner, v. STATE OF FLORIDA Appellee-Respondent.
- FEIT v. LEASCO DATA PROCESSING EQUIPMENT CORPORATION
- SECTION 11 IN THE EXCHANGE OFFER SETTING:AN ANALYSIS OF FEIT v. LEASCO DATA PROCESSING EQ IPMENT CORP.
- Liability of Directors with Special Expertise under Federal Securities Laws and Delaware Corporate Law
- Underwriters’ and Inside Directors’ Due Diligence Defense: Fiet v. Leasco Data Processing Equipment Corporation
- NEW ENGLAND LAW REVIEW
- Feit v. Leasco Data Processing Equipment Corporation—A Case Study 1-1-1972 Mitigation of Damages Through the Use of Stock Market Indicators – Eugene G. Popow Indiana University School of Law Case 1:09-md-02058-PKC Document 699
- Ethical Issues for Business Lawyers Lawyer-Directors: Just a Bad Idea By C. Evan Stewart
- OUTSIDE DIRECTOR LIABILITY FOR SHELF OFFERINGS
ChrisCraft v. Piper
- CHRIS-CRAFT INDUSTRIES, INC. v. PIPER AIRCRAFT CORPORATION 303 F.Supp. 191 (1969)
- 480 F.2d 341: Chris-craft Industries, Inc., Plaintiff-appellant, v. Piper Aircraft Corporation
- Corporate Disclosure of Securities Information Prior to Registration: The Effect of Chris-Craft Indus., Inc. v. Piper Aircraft Corp.
- CHRIS-CRAFT AND LOSS OF OPPORTUNITY TO CONTROL: THE LOST OPPORTUNITY Chris-Craft and Section 14(e): The Expansion of Lead Underwriters’ Liability
In re:Richmond Corporation
- STOP ORDER SUSPENDS RICHMOND CORP. STATEMENT
- Determining the Responsibilities of Underwriters Distributing Securities within an Integrated Disclosure System; Greene, Edward F.
In re:Software Toolworks
- In re SOFTWARE TOOLWORKS INC. SECURITIES LITIGATION. RICHARD B. DANNENBERG,
- Underwriters’ Obligations: In re:Software Toolworks Securities Litigation
- THE GOOD THE BAD AND THE UGLY: DIRECTOR RISK IN THE POST-ENRON WORLD
Worlds of Wonder
- 35 F.3d 1407: In Re Worlds of Wonder Securities Litigation
- IN RE WORLDS OF WONDER SECS. LITIG. UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF CALIFORNIA
- Due Diligence as an Affirmative Defense by Non-Issuers of Securities: Claims Under Section II
In re: WorldCom Securities Litigation
- In Re: WORLDCOM, INC. SECURITIES LITIGATION
- Looking Back on WorldCom: Addressing Underwriters’ Due Diligence in Shelf Registration Offerings and the Need for Reform.
- IN RE WORLDCOM, INC. SECURITIES LITIGATION DUE DILIGENCE FOR UNDERWRITERS AND DIRECTORS
- Client Alert – In re WorldCom, Inc. Securities Litigation
- The Due Diligence and Reliance Defenses in WorldCom: Retrospect and Prospect By Gideon A. Schor
- What Due Diligence Dilemma? Stanford: In re: WorldCom, Inc. Securities Litigation
- UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT IN RE WORLDCOM, INC. SECURITIES LITIGATION
- Due Diligence Standards for Underwriters after WorldCom by Thomas A. Zaccaro, Jesse Z.Weiss, and Michelle A. Reed
- RUTGERS LAW JOURNAL AN EMPIRICAL STUDY OF SECURITIES LITIGATION AFTER WORLDCOM David I. Michaels
- Martindale.com – In Re Worldcom, Inc. Securities Litigation: Due Diligence For Underwriters And Directors
Underwriter Due Diligence
- CUTTING UP THE HUMBLE PIE: A PRACTICAL APPROACH TO APPORTIONING LITIGATION RISKS AMONG UNDERWRITERS
- 56 Notre Dame L. 755 (1980-1981) Determining the Responsibilities of Underwriters Distributing Securities within an Integrated Disclosure System; Greene, Edward F.
- THE EXPANDING LIABILITY OF SECURITIES UNDERWRITERS: FROM BARCHRIS TO GLOBUS
- SECTION 11 OF THE SECURITIES ACT: THE UNRESOLVED DILEUMIA OF PARTICIPATING UNDERWRITERS
- CONFLICTING STANDARDS OF LIABILITY IN SHORT FORM REGISTRATION: THE UNDERWRITER’S DILEMMA
- Chris-Craft and Section 14(e): The Expansion of Lead Underwriters’ Liability
- HOW TO PREPARE AN INITIAL PUBLIC OFFERING:DUE DILIGENCE AND POTENTIAL LIABILITIES THE DUE DILIGENCE PROCESS FROM THE UNDERWRITER’S PERSPECTIVE
Due Diligence in Private Placements
Securities Law Generally
- RESOLVING THE CONFLICT BETWEEN SECTION 10(b) AND THE EXPRESS REMEDIES OF THE SECURITIES ACTS: THE NEED FOR AN INTERNALLY CONSISTENT APPROACH TO IMPLICATION
- APPORTIONING CONTRIBUTION SHARES UNDER THE FEDERAL SECURITIES ACTS: A SUGGESTED APPROACH FOR AN UNSETTLED AREA
- The Section 11 Due Diligence Defense for Director Defendants By Tony Rodriguez and Karen Petroski
- NO FRAUD? NO PROBLEM: OUTSIDE DIRECTOR LIABILITY FOR SHELF OFFERINGS UNDER SECTION 11 OF THE SECURITIES ACT OF 1933
- INDEMNIFICATION OF DIRECTORS AND OFFICERS AGAINST LIABILITIES IMPOSED UNDER FEDERAL SECURITIES LAWS
- Due Diligence Defense: Securities Act of 1933 – Sections 11 and 12(a)(2)
- An Attorney’s Responsibilities Under Federal and State Securities Laws: Private Counselor or Public Servant?
- THE DEVELOPMENT OF A FLEXIBLE DUTY STANDARD OF LIABILITY UNDER SEC RULE 10b-5
- Duty to Update Previously Disclosed Information Eric R. Smith, Thomas D. Washburne, Jr. and Uyen H. Pham, Venable LLP
- Current Trends in Federal Securities Litigation By Jonathan C. Dickey Daniel Floyd Paul J. Collins Gibson, Dunn & Crutcher LLP
- HOW TO PREPARE AN INITIAL PUBLIC OFFERING: DUE DILIGENCE AND POTENTIAL LIABILITIES
Investor Due Diligence
- An Investor’s Due Diligence © Author: Dennis J. Gerschick, Esq., CPA, CFA
- A GUIDE TO HEDGE FUND DUE DILIGENCE Helping Managers Understand the Evolving Financial Landscape
- Understanding Investor Due Diligence Investopedia: Due Diligence
- Understanding the Dreaded Investor Due Diligence
- Take the Mystery Out of Investor Due Diligence
- Investment Due Diligence Resource
- Alternative Investments – Due Diligence Procedures
- Due Diligence And Speculative Biotech Investing Due Diligence Red Flags
- ANGEL INVESTOR ANGEL INVESTMENT ENTREPRENEUR DUE DILIGENCE
- Due Diligence Checklist for Investors THE DUE DILIGENCE PROCESS – A TWO-WAY STREET
- Model Due Diligence Questionnaire for Hedge Funds
- Due Diligence Checklist for Business Buyers and Investors
- Due Diligence In 10 Easy Steps
- DUE DILIGENCE Steps to take prior to talking to investors
- MERGERS AND ACQUISITIONS M&A DUE DILIGENCE: THE 360-DEGREE VIEW
Investment Advisor Due Diligence
- Understanding the Importance of Due Diligence
- Expanding the Fiduciary Scorecard
- Due Diligence Process for Sub-Advised Investment Options
- The Principal Due Diligence Program In Action: A Year in the Lifee of a Sub-advised Investment Option
- The Principal Due Diligence Program Foundation Options
- Investment Manager Research – Due Diligence and Selection Process
- 2009 CCOutreach Regional Seminars – The Evolving Compliance Environment: Examination Focus Areas
- University of California Retirement Plan – Investment Policy Statement
- Foundations of Decision Analysis Revisited
- Decision Analysis: Practice and Promise
Environmental Due Diligence
- Purchaser’s Guide for Conducting Environmental Due Diligence
- Environmental Due Diligence in Real Property Transactions
- Environmental Due Diligence: A Guide to Liability Risk Management in Commercial Real Estate Transactions Joseph Philip Forte
- RETHINKING ENVIRONMENTAL DUE DILIGENCE: THE CHALLENGE OF ACCOUNTING FOR VAPOR INTRUSION IN REAL ESTATE TRANSACTIONS
- Environmental Due Diligence (EDD) Of Renewable Energy Projects GUIDELINES for Geothermal Energy Systems
- Environmental Due Diligence By Bob Reinhart
- ENVIRONMENTAL DUE DILIGENCE INVESTIGATION
- The Basics of Environmental Due Diligence Environmental Due Diligence – an Overview
- Due Diligence Data Room – Environmental Due Diligence
- Environmental Due Diligence: How Much Diligence Is Due?
- Environmental Due Diligence—Counting Carbon Jeff Civins, Mary Mendoza, and Adam Sencenbaugh
- Top Ten Asset Acquisition and Environmental Due Diligence Tips
- Environmental Due Diligence Information Requirements and Decision Criteria – Stephen E. Roulac
- Foreclosing on Commercial Property? Environmental Due Diligence is an Important First Step By Derek Ezovski
- The New Environmental Due Diligence by Carla Consoli and Matt Bingham
- A Banker’s Perspective On Environmental Due Diligence
- Doing Environmental Due Diligence by Jeff Civins, Haynes and Boone, LLP, Austin, TX; contributed by Ann Saegert
Financial and Accounting Due Diligence
- ACCOUNTANTS’ LIABILITY AND RESPONSIBILITY: SECURITIES, CRIMINAL AND COMMON LAW
- FEDERAL CRIMINAL AND ADMINISTRATIVE CONTROLS FOR AUDITORS: THE NEED FOR A CONSISTENT STANDARD
- Special Due Diligence Programs for Certain foreign Accounts
- Buyer’s Side (or Merger Participant’s) Financial Due Diligence Investigation Checklist
- Comprehensive M&A due diligence checklist for buyers
- FINANCIAL SERVICES DUE DILIGENCE UNDER SARBANES-OXLEY
- ACCOUNTING DUE DILIGENCE CHECKLIST
- Sample Due Diligence Accounting checklist
- Buyers Beware: Relaxing Due Diligence in M&A Transactions Could Be Fatal
- M&A Due Diligence and its Consequences for Post-Acquisition Financial Statements
Data Rooms
- PointCross Virtual Data Room
- Virtual Data Rooms as a Legal Repository
- What is in a Due Diligence Data Room ?
- DO VIRTUAL DATA ROOMS ADD VALUE TO THE MERGERS AND ACQUISITIONS PROCESS?
- Data Room Guidelines and Procedures
- Building a Better Data Room Best Practices for Reducing Cost, Risk and Effort When Building a Virtual Data Room
- The Pros and Cons of Using Virtual Data Rooms for Due Diligence
- DUE DILIGENCE DATA ROOM CHECKLIST
- Driving Transaction Efficiency on Virtual Data Room Best Practices
Securitizations, Dodd-Frank and Related Due Diligence Matters
- Diligence with Residential Mortgage Backed Securities
- Muddy Rules for Securitizations SEC 2011 Speech
- SEC Comments American Securitization Form Announcement re Asset Backed Securities
- SEC Proposes Rules Regarding Third Party Due Diligence Reports in Offerings of ABS
- SEC Proposes New ABS Due Diligence Rules
- Securitization Due Diligence
- Third Party ABS Due Diligence
- Mayer Brown Presentation
- American Securitization Forum
- Dodd Frank Due Diligence Summary
- Recent Developments Trade Group
- ABS Fee Survey
Ethical Issues/Director Issues
- Ethical Issues for Business Lawyers
- Ethics Corner: Lawyer Serving on Board of Client
- Lawyers Perspective – Serving on Business Boards
- A Problematic Dual Role: Lawyer & Director
- Serving on Business Boards
- The Paradoxical Corporate and Securities Law Implications of Counsel Serving on the Client’s Board
- INDEMNIFICATION OF DIRECTORS AND OFFICERS AGAINST LIABILITIES IMPOSED UNDER FEDERAL SECURITIES LAWS
- NEW PROBLEMS IN INDEMNIFYING AND INSURING DIRECTORS: PROTECTION AGAINST LIABILITY UNDER THE FEDERAL SECURITIES LAWS
- OUTSIDE DIRECTOR LIABILITY Bernard Black, Brian Cheffins, and Michael Klausner
- An Attorney’s Responsibilities Under Federal and State Securities Laws: Private Counselor or Public Servant?
- THE GOOD THE BAD AND THE UGLY: DIRECTOR RISK IN THE POST-ENRON WORLD
- EXPANDING CHIEF OFFICERS’ LIABILITY AND THE PROMISE TO RAISE INVESTOR CONFIDENCE
