PLI "Safe Return" Policy for In-Person Programs

PLI has resumed live programming in both New York and San Francisco as well as our offsite venues. Learn about our "Safe Return" policy to protect attendees, faculty, and staff.

2-Day Program

See Credit Details Below

Overview

Why You Should Attend

This two-day program is a fundamental securities law primer for attorneys. Designed to illuminate how securities attorneys can solve practical problems that arise in the context of today’s public and private offerings, each segment will emphasize the legislative basis and real-world best practices every attorney should know.

Attendees will be given an introduction to the basic aspects of the U.S. federal securities laws, and the interplay among the Securities Act of 1933, the Securities Exchange Act of 1934, related SEC regulations, and other significant legislative and regulatory changes and proposals. They will have the opportunity to examine issues related to SEC reporting, mergers and acquisitions, and other common corporate transactions. Attendees will also be able to review the regulatory scheme for proxy solicitations in the age of corporate activism, how the federal securities laws apply to mergers and acquisitions, and the issues of individual liability for corporate officers and other insiders.

New this year is a timely segment highlighting digital assets under the securities laws. Attendees will learn how individual digital assets are defined, review the treatment of each under existing regulation, and will examine the adequacy of the current regulatory framework for digital assets.

What You Will Learn

  • Introduction to securities laws: an overview of the Securities Act of 1933 and Securities Exchange Act of 1934
  • What is the interrelationship of securities laws with state corporate laws and stock exchange requirements?
  • What is a “security”? What are an “offer,” a “sale” and a “prospectus”?
  • Guidance on working with the SEC
  • How should securities lawyers approach due diligence and disclosure obligations?
  • Analysis of exempt securities versus exempt transactions
  • What are the triggers for Exchange Act reporting obligations?
  • Sarbanes-Oxley and Dodd-Frank “clawback” provisions — where do things stand today?
  • Complying with ethics and professional responsibility rules in SEC practice

Special Feature

  • Earn two hours of ethics credit

Who Should Attend

All attorneys interested in learning about the securities laws and best practices.

 

Program Level: Overview

Intended Audience: All attorneys interested in learning about the securities laws and best practices.

Prerequisites: None

Advanced Prep: None

Topics
Securities and other financial products Enforcement (Securities and other financial products) Regulation and compliance (Securities and other financial products)

Credit Details

Schedule & Location