3-Hour Program

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Overview

Why You Should Attend

Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the SEC works to administer the securities laws.  In this program, you will be given an introduction to the federal securities laws as well as the operating divisions at the SEC that administer the laws.  You will be provided with what you need to know about how the SEC administers the securities laws - and the other agencies that the SEC interacts with on a regular basis.

What You Will Learn

. What are the Sources of Securities Law and Regulation?
. How is the SEC's enforcement program structured?
. What sorts of disclosure documents do the SEC review?
. What are the different roles and responsibilities of the SEC's operating divisions?
. What work is done in the SEC's Regional Offices versus the SEC's headquarters?

Who Should Attend

Attorneys, compliance and business professionals seeking to gain a foundation in the securities laws and securities practice.  Additionally, the program provides current information on various SEC-related practice issues to more experienced securities attorneys.

Credit Details