Understanding the Securities Laws Summer 2015



Date: July 23, 2015 - July 24, 2015

Location: PLI New York Center, 1177 Avenue of the Americas, New York, New York 10036

Nixon Peabody partner Richard Langan will be on the faculty at this two-day conference presented by the Practicing Law Institute in New York, NY. For more information and to register, visit www.pli.edu.

From the PLI website:

Why You Should Attend

Whether you are new to the field or seeking a quick refresher or an update, this is a securities law primer that you won’t want to miss. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, the Dodd-Frank Act, and related SEC regulations, and on how securities lawyers can solve practical problems that arise under them in the context of public and private offerings, SEC reporting, mergers and acquisitions and other common corporate transactions.

What You Will Learn

  • Overview of the integrated disclosure system and the regulatory scheme as a whole, including annual reporting obligations and common triggers of the “duty to disclose”
  • Registering securities under the Securities Act and exemptions from registration, including recent and proposed changes resulting from the JOBS Act
  • Reporting under the Exchange Act on Forms 10-K, 10-Q and 8-K
  • Regulation of proxy solicitations
  • Securities issues confronting corporate “insiders,” including Section 16 reporting and liability, and guidance regarding 10b5-1 trading plans
  • Private placements, crowd funding, new Regulation A rules and Reg. D rules
  • Liability for securities law violations, including insider trading
  • Securities law issues triggered by M&A and other common corporate transactions
  • Other public company disclosure issues

Special Features:

  • Earn up to two full hours of Ethics credit, exploring ethical issues encountered in securities practice, including those associated with FCPA and cybersecurity practice
  • NY Transitional Attorneys: Earn Professional Skills credit

Who Should Attend

Attorneys with the need to expand their knowledge and keep up with all aspects of securities laws, including senior in-house attorneys, attorneys with expertise in other fields and all attorneys interested in understanding securities laws and the latest best practices.  Additionally, this course may be suitable for other corporate, litigation and business law attorneys who handle cases in which issues under the securities laws can arise.

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