Understanding the Securities Laws 2016



Date: July 21, 2016 - July 22, 2016

Location: PLI New York Center, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036

Nixon Peabody partner John Partigan will be on the faculty at this two-day conference presented by the Practising Law Institute (PLI) 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 as well as SEC staff. 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, the JOBS Act, the securities related provisions of the FAST Act and related SEC regulations. Our expert faculty will show how securities lawyers can solve practical problems that arise in the context of public and private offerings, SEC reporting, mergers and acquisitions and other common corporate transactions.

What you will learn

  • Gain an 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”
  • Study issues related to registering securities under the Securities Act and exemptions from registration, including recently passed Securities Act Section 4(a)(7) and the Regulation A+ and crowdfunding regulations that resulted from the JOBS Act
  • Learn reporting requirements under the Exchange Act on Forms 10-K, 10-Q and 8-K
  • Examine regulation of proxy solicitations, including the new “pay for performance” and pay ratio disclosures
  • Analyze securities issues confronting corporate “insiders” including Section 16 reporting and liability, “clawback” liability for executives and guidance regarding 10b5-1 trading plans
  • Learn about private placements and Regulation D rules
  • Assess liability for securities law violations, including insider trading
  • Uncover securities law issues triggered by M&A and other common corporate transactions

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.  This course is particularly beneficial for corporate associates in their early years of practice and can serve a part of a comprehensive corporate training program. It also 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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