Seminar  Workshop

SEC Reporting and Practice Skills Workshop for Lawyers 2017


Select a Location:

Why You Should Attend:

Many lawyers learn SEC reporting through on-the-job training, which often is piecemeal at best.  This Workshop is intended to replace that ad-hoc learning process by helping participants develop a comprehensive and in-depth understanding of the structure, organization and details of the reporting requirements of the U.S. federal securities laws, including how to use the SEC’s online resources and all related sources of guidance.  Participants will learn, understand and apply the various requirements and principles that are a challenge to any publicly reporting company.

By using interactive lecture, discussion and examples in a small group setting, Workshop participants will build the foundational knowledge and practical experience necessary to understand the requirements of, and to prepare and review, the SEC’s periodic and current reports (e.g., Annual Report on Form 10-K, Quarterly Report on Form 10-Q, and Current Report on Form 8-K).  Participants will also learn important rules and techniques for communicating with the public, including compliance with Securities Act Section 5’s “communication rules” as well as Regulations FD and G and the guidance for using non-GAAP measures.  Participants will learn the importance of “insider trading” policies, Rule 10b-5(1) plans as well as Exchange Act Section 16’s prohibitions and requirements applicable to corporate “insiders.”  The art of drafting disclosure documents and press releases with a view toward limiting potential liability, emphasizing “Risk Factor” disclosure and the PSLRA “safe harbor” for forward-looking statements, will be discussed.  Participants will also develop an understanding of how to comply with the SEC’s proxy requirements (including the new “pay ratio disclosure” rule and the proposed rule on “pay vs. performance”) and plan for the company’s annual meeting.  This Workshop is also a great refresher for any lawyer who desires to keep their SEC reporting skills up to date.

What You Will Learn

  • Key disclosures and issues in Forms 10-K, 10-Q, and 8-K and the proxy statement
  • How to communicate with the public within the constraints of the SEC’s rules, including Reg FD and the SEC Staff’s updated non-GAAP financial measures guidance
  • How to protect the company and executives from charges of insider trading, including through the use of Rule 10b-5(1) plans
  • How to ensure compliance by executives with Section 16 reporting
  • How to write an effective MD&A
  • Latest developments including the Dodd-Frank pay ratio and pay versus performance disclosures
  • How to deal with the SEC staff and understand their “hot buttons,” including frequent comment areas such as executive compensation, non-GAAP measures, contingencies, cybersecurity, revenue recognition and segments

What You Should Bring

Bring your company’s or a client’s most recent public disclosures: 10-K, 10-Q, recent 8-K and one or more press releases. If you work with a company that is not yet public, filings from a company in the same industry are a reasonable alternative.

Course Materials:

Course books and presentation materials will be distributed to attendees upon arrival at the Workshop.

Who Should Attend:

This Workshop is geared to beginners or as a refresher for experienced SEC reporting professionals.  Attorneys, general counsel, in-house counsel and corporate legal staff, investor relations professionals, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to satisfy the current SEC reporting requirements.  For Accountants and auditors, we recommend taking our “SEC Reporting Skills Workshop 2017,” which includes a more in-depth analysis of financial reporting issues in SEC reporting.

Prerequisites:  None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:15 p.m.

9:00  Opening Remarks and Introductions

9:15 Overview of the SEC's Requirements
  • Understand the Securities Act and Exchange Act and their inter-relationships
  • Learn how the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, is the foundation for preparing SEC filings
  • Learn to use SEC resources in the research and preparation process
  • Understand how to work with the SEC in the filing review process
(CPE Fields of Study: Accounting, Specialized Knowledge & Applications)


10:30 Networking Break

10:45 Disclosure Basics
  • Understanding the “duty to disclose”
  • Duty to update; duty to correct
  • “Materiality”
  • “Risk Factor” Disclosure
  • Understanding the significance of the 1995 Private Securities Litigation Reform Act and its “safe harbor” protection from liability for forward-looking statements
  • The “bespeaks caution” doctrine
  • Regulation FD and related communication issues
  • Building a comprehensive communication policy
(CPE Fields of Study: Accounting, Specialized Knowledge & Applications)


12:15 Networking Luncheon

12:45 Registering Securities for Sale Under the Securities Act of 1933
  • Basic Rule – unless exempt – register
  • Review of primary exemptions, including the new Regulation “A+”
  • Communication rules – “gun jumping”
  • Registration Forms – S-1 and S-3
  • Size matters – WKSIs and “Emerging Growth Companies”
  • Confidential treatment requests
  • SEC review procedures
(CPE Fields of Study: Accounting, Specialized Knowledge & Applications)


2:00 Networking Break

2:15 Drafting and Reviewing 1934 Act Periodic Reports – Forms 10-K and 10-Q

  • Learn how to prepare and review Forms 10-K and 10-Q
  • Deal with key disclosures and challenges
  • Discuss internal control over financial reporting and its importance in the reporting process
  • Discuss disclosure controls and their importance in the reporting process
  • Assuring conformity between the financial statements and non-financial disclosures
  • Working with auditors in the financial reporting process
  • Understand the impact of the PCAOB on companies and auditors
  • New accounting issues and their impact, including revenue recognition and lease accounting
  • Certification requirements
  • Exhibit requirements
  • Coordinating the 10-K with the proxy materials and annual report to shareholders
(CPE Fields of Study: Accounting, Specialized Knowledge & Applications)


4:15 Ethical Dilemmas in Preparation and Review of SEC Filings
  • Ethical considerations in SEC practice
  • Real life example case studies
  • Lawyers as “gatekeepers” and targets
  • The SEC’s “reporting up” rules
  • Rule 2(e) (now 102(e)) proceedings
  • Experience under the whistleblower rules

5:15  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 Management's Discussion and Analysis (MD&A)

  • SEC guidance including for MD&A structure and content
  • Key SEC MD&A enforcement actions and frequent SEC review comments
(CPE Field of Study: Accounting)


10:00 Networking Break

10:15 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements
  • Review the new SEC rule for pay ratio disclosures
  • Review the status of the SEC’s pay vs. performance disclosure rule proposal and other Dodd-Frank projects
  • Preliminary and definitive proxy filing requirements
  • Drafting CD&A and related compensation disclosures
  • Proxy statements required for other shareholder votes, acquisitions, etc.
  • Responding to shareholder proposals
(CPE Field of Study: Specialized Knowledge & Applications)


11:45 Networking Luncheon

12:15 Current Reports on Form 8-K
  • Events triggering a Form 8-K filing obligation
  • What information must be reported
  • “Furnished” versus “filed” reports
  • Filing deadlines
    • Effects on S-3 eligibility
    • The “safe harbor”
  • The quarterly disclosure process and related 8-K for earnings releases
  • Ensuring adequate disclosure controls for timely 8-K filings
  • Detailed review of frequently used 8-K items
  • 8-K “traps” and the importance of corporate planning
(CPE Fields of Study: Accounting, Specialized Knowledge & Applications)


2:15 Networking Break

2:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements of Section 16 to report officer and director stock transactions on Forms 3, 4 and 5 and how to avoid the short-swing profit rules
  • Resale of securities and compliance with Rule 144
  • “Insider trading” – what it is and how to avoid liability
    • “Insider trading” policies
    • Use and importance of 10b-5(1) plans for insiders
  • Sarbanes-Oxley and Dodd-Frank “clawback” rules
(CPE Field of Study: Specialized Knowledge & Applications)
(CFE Field of Study: Fraud)

4:00 Adjourn



Instructor(s)
Gary M. Brown ~ Chief Executive Officer, CMG Life Services Inc.
George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI
Dallas Area Seminar Location and Hotel Accommodations

Gaylord Texan Resort & Convention Center, 1501 Gaylord Trail, Grapevine, TX 76051.  A block of rooms has been reserved at the hotel.  Please contact reservations at 1-866-782-7897 and reference Practising Law Institute and the name of the program.  The cut off date for the preferred rate is April 24, 2015.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “traditional” credit. There is no limit to the number of credits an attorney can earn via traditional programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at cleadministrator@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at cleadministrator@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

IIEI Recertification: SEC Institute’s workshops may qualify for the Continuing Education Units (CEUs) necessary to fulfill the Certified U.S. Export Compliance Officer® (CUSECO) continuing education requirements.

Why You Should Attend:

Many lawyers learn SEC reporting through on-the-job training, which often is piecemeal at best.  This Workshop is intended to replace that ad-hoc learning process by helping participants develop a comprehensive and in-depth understanding of the structure, organization and details of the reporting requirements of the U.S. federal securities laws, including how to use the SEC’s online resources and all related sources of guidance.  Participants will learn, understand and apply the various requirements and principles that are a challenge to any publicly reporting company.

By using interactive lecture, discussion and examples in a small group setting, Workshop participants will build the foundational knowledge and practical experience necessary to understand the requirements of, and to prepare and review, the SEC’s periodic and current reports (e.g., Annual Report on Form 10-K, Quarterly Report on Form 10-Q, and Current Report on Form 8-K).  Participants will also learn important rules and techniques for communicating with the public, including compliance with Securities Act Section 5’s “communication rules” as well as Regulations FD and G and the guidance for using non-GAAP measures.  Participants will learn the importance of “insider trading” policies, Rule 10b-5(1) plans as well as Exchange Act Section 16’s prohibitions and requirements applicable to corporate “insiders.”  The art of drafting disclosure documents and press releases with a view toward limiting potential liability, emphasizing “Risk Factor” disclosure and the PSLRA “safe harbor” for forward-looking statements, will be discussed.  Participants will also develop an understanding of how to comply with the SEC’s proxy requirements (including the new “pay ratio disclosure” rule and the proposed rule on “pay vs. performance”) and plan for the company’s annual meeting.  This Workshop is also a great refresher for any lawyer who desires to keep their SEC reporting skills up to date.

What You Will Learn

  • Key disclosures and issues in Forms 10-K, 10-Q, and 8-K and the proxy statement
  • How to communicate with the public within the constraints of the SEC’s rules, including Reg FD and the SEC Staff’s updated non-GAAP financial measures guidance
  • How to protect the company and executives from charges of insider trading, including through the use of Rule 10b-5(1) plans
  • How to ensure compliance by executives with Section 16 reporting
  • How to write an effective MD&A
  • Latest developments including the Dodd-Frank pay ratio and pay versus performance disclosures
  • How to deal with the SEC staff and understand their “hot buttons,” including frequent comment areas such as executive compensation, non-GAAP measures, contingencies, cybersecurity, revenue recognition and segments

What You Should Bring

Bring your company’s or a client’s most recent public disclosures: 10-K, 10-Q, recent 8-K and one or more press releases. If you work with a company that is not yet public, filings from a company in the same industry are a reasonable alternative.

Course Materials:

Course books and presentation materials will be distributed to attendees upon arrival at the Workshop.

Who Should Attend:

This Workshop is geared to beginners or as a refresher for experienced SEC reporting professionals.  Attorneys, general counsel, in-house counsel and corporate legal staff, investor relations professionals, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to satisfy the current SEC reporting requirements.  For Accountants and auditors, we recommend taking our “SEC Reporting Skills Workshop 2017,” which includes a more in-depth analysis of financial reporting issues in SEC reporting.

Prerequisites:  None


Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:15 p.m.

9:00  Opening Remarks and Introductions

9:15 Overview of the SEC's Requirements
  • Understand the Securities Act and Exchange Act and their inter-relationships
  • Learn how the SEC’s integrated disclosure system, including Regulations S-X and S-K, the Staff Accounting and Staff Legal Bulletins, is the foundation for preparing SEC filings
  • Learn to use SEC resources in the research and preparation process
  • Understand how to work with the SEC in the filing review process
(CPE Fields of Study: Accounting, Specialized Knowledge & Applications)


10:30 Networking Break

10:45 Disclosure Basics
  • Understanding the “duty to disclose”
  • Duty to update; duty to correct
  • “Materiality”
  • “Risk Factor” Disclosure
  • Understanding the significance of the 1995 Private Securities Litigation Reform Act and its “safe harbor” protection from liability for forward-looking statements
  • The “bespeaks caution” doctrine
  • Regulation FD and related communication issues
  • Building a comprehensive communication policy
(CPE Fields of Study: Accounting, Specialized Knowledge & Applications)


12:15 Networking Luncheon

12:45 Registering Securities for Sale Under the Securities Act of 1933
  • Basic Rule – unless exempt – register
  • Review of primary exemptions, including the new Regulation “A+”
  • Communication rules – “gun jumping”
  • Registration Forms – S-1 and S-3
  • Size matters – WKSIs and “Emerging Growth Companies”
  • Confidential treatment requests
  • SEC review procedures
(CPE Fields of Study: Accounting, Specialized Knowledge & Applications)


2:00 Networking Break

2:15 Drafting and Reviewing 1934 Act Periodic Reports – Forms 10-K and 10-Q
 
  • Learn how to prepare and review Forms 10-K and 10-Q
  • Deal with key disclosures and challenges
  • Discuss internal control over financial reporting and its importance in the reporting process
  • Discuss disclosure controls and their importance in the reporting process
  • Assuring conformity between the financial statements and non-financial disclosures
  • Working with auditors in the financial reporting process
  • Understand the impact of the PCAOB on companies and auditors
  • New accounting issues and their impact, including revenue recognition and lease accounting
  • Certification requirements
  • Exhibit requirements
  • Coordinating the 10-K with the proxy materials and annual report to shareholders
(CPE Fields of Study: Accounting, Specialized Knowledge & Applications)


4:15 Ethical Dilemmas in Preparation and Review of SEC Filings
  • Ethical considerations in SEC practice
  • Real life example case studies
  • Lawyers as “gatekeepers” and targets
  • The SEC’s “reporting up” rules
  • Rule 2(e) (now 102(e)) proceedings
  • Experience under the whistleblower rules

5:15  Adjourn



Day Two: 8:30 a.m. - 4:00 p.m.

8:30 Management's Discussion and Analysis (MD&A)
  • SEC guidance including for MD&A structure and content
  • Key SEC MD&A enforcement actions and frequent SEC review comments
(CPE Field of Study: Accounting)


10:00 Networking Break

10:15 Proxy Statements and Annual Reports to Shareholders
  • Learn the proxy process and information requirements
  • Review the new SEC rule for pay ratio disclosures
  • Review the status of the SEC’s pay vs. performance disclosure rule proposal and other Dodd-Frank projects
  • Preliminary and definitive proxy filing requirements
  • Drafting CD&A and related compensation disclosures
  • Proxy statements required for other shareholder votes, acquisitions, etc.
  • Responding to shareholder proposals
(CPE Field of Study: Specialized Knowledge & Applications)


11:45 Networking Luncheon

12:15 Current Reports on Form 8-K
  • Events triggering a Form 8-K filing obligation
  • What information must be reported
  • “Furnished” versus “filed” reports
  • Filing deadlines
    • Effects on S-3 eligibility
    • The “safe harbor”
  • The quarterly disclosure process and related 8-K for earnings releases
  • Ensuring adequate disclosure controls for timely 8-K filings
  • Detailed review of frequently used 8-K items
  • 8-K “traps” and the importance of corporate planning
(CPE Fields of Study: Accounting, Specialized Knowledge & Applications)


2:15 Networking Break

2:30 Staying Out of Trouble: Insider Trading and Liability Risks for Corporate Officers, Directors and Principal Shareholders
  • Learn the requirements of Section 16 to report officer and director stock transactions on Forms 3, 4 and 5 and how to avoid the short-swing profit rules
  • Resale of securities and compliance with Rule 144
  • “Insider trading” – what it is and how to avoid liability
    • “Insider trading” policies
    • Use and importance of 10b-5(1) plans for insiders
  • Sarbanes-Oxley and Dodd-Frank “clawback” rules
(CPE Field of Study: Specialized Knowledge & Applications)
(CFE Field of Study: Fraud)

4:00 Adjourn



Instructor(s)
Gary M. Brown ~ Chief Executive Officer, CMG Life Services Inc.
George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI
Program Attorney(s)
Robin D. Goldstein ~ Director & Sr. Program Attorney, PLI

Chicago Seminar Location

University of Chicago Gleacher Center, 450 N. Cityfront Plaza Drive, Chicago, Il 60611. (312) 464-8787.

Hotel Accommodation

Intercontinental Hotel Chicago, 505 N. Michigan Avenue, Chicago, IL 60611. (312) 944-4100.  A block of rooms has been reserved for this program.  Please call reservations at 1-800-628-2112 and mention the name of the program you are attending. 

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Alaska:  All SEC Institute products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Arizona:  SEC Institute’s workshops qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

California:  SEC Institute’s workshops qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All SEC Institute products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Connecticut: Effective January 1, 2017, all SEC Institute products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Delaware:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Florida:  All SEC Institute products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Georgia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Hawaii:  All SEC Institute products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Idaho:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Illinois:  All SEC Institute products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Indiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Iowa:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Kansas:  SEC Institute’s workshops qualify as “traditional” credit. There is no limit to the number of credits an attorney can earn via traditional programs.

Kentucky:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Louisiana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Maine:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Minnesota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Mississippi:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Missouri:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Montana:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nebraska:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Nevada:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Hampshire:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Jersey:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New Mexico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

New York

Experienced Attorneys:  All SEC Institute products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Newly Admitted Attorneys: Select transitional SEC Institute workshops can be used to fulfill the requirements for newly admitted attorneys. Please check the “Credit Information” box on the program page to ensure credit is approved. All credit categories may be earned via transitional SEC Institute workshops.

North Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

North Dakota:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Ohio:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oklahoma:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Oregon:  All SEC Institute products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Pennsylvania: SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Puerto Rico:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Rhode Island:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

South Carolina:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Tennessee:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Texas:  All SEC Institute products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Utah:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Vermont:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Virgin Islands:  All SEC Institute products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via SEC Institute products.

Virginia:  SEC Institute’s workshops qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

West Virginia:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wisconsin:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.

Wyoming:  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of credits an attorney can earn via workshops.


CPD Jurisdictions

British Columbia (CPD-BC):  SEC Institute’s workshops qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  SEC Institute’s workshops qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  SEC Institute’s workshops can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  SEC Institute’s workshops qualify as “live” credit. There is no limit to the number of points an attorney can earn via workshops.

United Kingdom (CPD-UK):  SEC Institute’s workshops can fulfill the United Kingdom’s CPD requirements.


Other Credit Types

CPE Credit (NASBA): SEC Institute’s workshops qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  SEC Institute’s workshops may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at cleadministrator@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  SEC Institute’s workshops may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at cleadministrator@pli.edu.

IAPP Continuing Privacy Credit (CPE):  SEC Institute’s workshops may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  SEC Institute’s workshops may fulfill HR credit requirements.

Compliance Certification Board (CCB):  SEC Institute’s workshops qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via workshops.

IIEI Recertification: SEC Institute’s workshops may qualify for the Continuing Education Units (CEUs) necessary to fulfill the Certified U.S. Export Compliance Officer® (CUSECO) continuing education requirements.

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