On-Demand   On-Demand Web Programs

Understanding the Securities Laws 2013

Released on: Aug. 9, 2013
Running Time: 13:03:40

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 provides 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 and the Securities Exchange Act of 1934 and related SEC regulations, how those laws were affected by the Sarbanes-Oxley Act, the Dodd-Frank Act and the controversial Jumpstart Our Business Startups (“JOBS”) Act, which created the concept of “emerging growth companies.” Panelists will provide practical guidance on how securities lawyers can address issues that arise under those laws in the contexts of public and private offerings, SEC reporting, mergers and acquisitions, and other corporate transactions.

Lecture Topics 
[Total time 013:03:40]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Program Introduction: Opening Remarks* [00:02:35]
    N. Adele Hogan
  • Introduction to Securities Laws [01:42:26]
    Kenneth L. Josselyn, Thomas W. Yang
  • Registering Securities Under the Securities Act of 1933 and Disclosure Basics [01:30:43]
    Karen J. Garnett, N. Adele Hogan, David Weild IV
  • Securities Act Exemptions/Private Placements [00:58:14]
    Adam Fleisher, Lawrence G. Wee
  • Reporting Under the Exchange Act [01:02:11]
    Donna Dabney, Richard F. Langan, Jr., Eileen McCarthy, Andrew J. Pitts
  • Liability for Securities Law Violations and Exam Priorities [01:14:40]
    Mary Gail Gearns, Douglas Koff
  • "Insiders" and "Affiliates" - Section 16, Resales and Other Securities Law [00:59:30]
    Francis C. Marinelli, William A. Newman, James Odell
  • Regulation of Proxy Solicitations [01:17:08]
    David K. Boston, Shelley J. Dropkin, Linda E. Rappaport
  • Evolving Ethics and Professionalism Requirements [01:00:13]
    N. Adele Hogan, Brian Korn, Paul Salvatore
  • Derivatives, Structured Notes and Other Alternatives to Traditional Securities Offerings [01:01:00]
    Adam Fleisher, Kenneth L. Josselyn, Anna T. Pinedo
  • Securities Law Aspects of Mergers, Acquisitions and Other Corporate Transactions [01:15:05]
    Dennis J. Block, John A. Marzulli, Jr.
  • Inside Counsels' Perspective on Securities Law Issues [00:59:55]
    Andrea Lowenthal, Andrew Siegel, James Odell

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • Approaching Securities Law
    Gary M. Brown
  • Regulatory Framework of Securities Act Registration
    Gary M. Brown
  • Reach of Securities Act Regulation
    Gary M. Brown
  • The Trouble with Small Tick Sizes: Larger Tick Sizes Will Bring Back Capital Formation, Jobs and Investor Confidence (September 2012)
    David Weild IV
  • Making Stock Markets Work to Support Economic Growth: Implications for Governments, Regulators, Stock Exchanges, Corporate Issuers and Their Investors (April 2, 2013)
    David Weild IV
  • High Yield Debt Standard Covenants
    Lawrence G. Wee
  • Rule 144a and Regulation S Under the Securities Act Of 1933
    Lawrence G. Wee
  • Securities Law Aspects of Equity-Based Compensation for Private Companies—Exemption Under Rule 701
    Lawrence G. Wee
  • The Integrated Disclosure System, Registration and Periodic Reports Under the Securities Exchange Act of 1934
    Richard F. Langan, Jr.
  • Liability for Securities Law Violations
    Douglas Koff, Mary Gail Gearns
  • “Insiders" and Affilliates—Section 16, Resales and Other Securities Law
    Francis C. Marinelli
  • Regulation of Proxy Solicitation (May 2013)
    David K. Boston
  • Executive and Director Compensation Disclosure (May 2013)
    Linda E. Rappaport
  • New York Rules of Professional Conduct (December 20, 2012)
    N. Adele Hogan
  • Top Labor & Employment Law Issues In 2013 (May 17, 2013)
    Paul Salvatore
  • New Paradigms in Investor Liquidity: Private and “Off-Market” Resales of Securities Under Rule 144 and Beyond (July 2013)
    Brian Korn
  • Anti-Corruption Law and the Oil and Gas Industry: Evolutions in Both Demand Vigilance/Current FCPA Enforcement and Compliance Challenges in India (April 2013)
    Brian Korn
  • JOBS Act Implementation Schedule
    Brian Korn
  • Corporate and Securities Law Alert: The Trouble with Crowdfunding (April 18, 2013)
    Brian Korn
  • Corporate and Securities Law Alert: Social Media Use by Public Companies—The SEC Weighs in/the Evolving Use Of Social Media: Protecting Your Organization (April 2013)
    Brian Korn
  • Client Alert: Executive Order Begins Process of Strengthening Nation’s Cybersecurity and Critical Infrastructure (February 21, 2013)
    Brian Korn, Sharon R. Klein
  • Corporate and Securities Law Alert: SEC Roundtable on Decimalization Raises Many Questions, Few Answers (February 15, 2013)
    Brian Korn
  • Corporate and Securities Law Alert: Investment Banks and Other Broker-dealers Required to Make Private Placement Filings Under New FINRA Rule 5123 (January 14, 2013)
    Brian Korn
  • Client Alert: Conflict Minerals: The Rule’s ‘Gray Areas’ That Will Matter in Implementation (October 26, 2012)
    Brian Korn
  • Corporate and Securities Law Alert: If Three’s a Crowd, Thousands are … An Investment Round? JOBS Act Presents Significant Changes to the Federal Securities Laws (March 29, 2012)
    Brian Korn
  • Structuring and Selling Structured Products
    Anna T. Pinedo
  • Morrison & Foerster News Bulletin: FINRA Issues Guidance on Backtested Performance Data (April 26, 2013)
    Anna T. Pinedo
  • Morrison & Foerster News Bulletin: FINRA’s 2013 Communication Rules and Revisions to MSDAs (April 12, 2013)
    Anna T. Pinedo
  • Morrison & Foerster News Bulletin: Additional SEC Guidance on Estimated Value Disclosures (February 28, 2013)
    Anna T. Pinedo
  • Morrison & Foerster News Bulletin: Reverse Inquiry Transactions in the Spotlight (February 6, 2013)
    Anna T. Pinedo
  • Securities Law Aspects of Mergers, Acquisitions, and Other Corporate Transactions (May 2013)
    Dennis J. Block
  • U.S. Securities and Exchange Commission—Jumpstart Our Business Startups Act Frequently Asked Questions: Generally Applicable Questions on Title I of the JOBS Act (September 28, 2012; May 3, 2012; April 16, 2012)
    N. Adele Hogan
  • U.S. Securities and Exchange Commission—Draft Registration Statements to Be Submitted and Filed on Edgar (September 26, 2012)
    N. Adele Hogan
  • U.S. Securities and Exchange Commission—SEC Says Social Media OK for Company Announcements If Investors are Alerted (April 2, 2013)
    N. Adele Hogan
  • U.S. Securities and Exchange Commission—Accessing the U.S. Capital Markets—a Brief Overview for Foreign Private Issuers (February 20, 2013)
    N. Adele Hogan
  • U.S. Securities and Exchange Commission—Notice Required by the Iran Threat Reduction and Syria Human Rights Act of 2012 to Be Filed Through Edgar (December 19, 2012)
    N. Adele Hogan
  • Introduction to the U.S. Securities Laws (PowerPoint Slides) (July 25, 2013)
    Kenneth L. Josselyn
  • The Quest for Full Employment: “Decimalization” and “Tick Size” (PowerPoint Slides)
    David Weild IV
  • Securities Act Exemptions/Private Placements (PowerPoint Slides) (May 2013)
    Adam Fleisher
  • Evolving Ethics and Professionalism Requirements (PowerPoint Slides) (July 26, 2013)
    Paul Salvatore

Presentation Material

  • Introduction to Securities Laws
    Kenneth L. Josselyn
  • Registering Securities Under the Securities Act of 1933 and Disclosure Basics
    David Weild IV
  • Registering Securities Under the Securities Act of 1933 and Disclosure Basics
    David Weild IV
  • Securities Act Exemptions/Private Placements
    Adam Fleisher
  • Securities Act Exemptions/Private Placements
    Lawrence G. Wee
  • Reporting Under the Exchange Act
    Donna Dabney, Richard F. Langan, Jr., Eileen McCarthy, Andrew J. Pitts
  • Liability for Securities Law Violations and Exam Priorities
  • Liability for Securities Law Violations and Exam Priorities
  • Liability for Securities Law Violations and Exam Priorities
    Mary Gail Gearns,Douglas Koff
  • "Insiders" and "Affiliates" - Section 16, Resales and Other Securities Law
    Francis C. Marinelli
  • "Insiders" and "Affiliates" - Section 16, Resales and Other Securities Law
    William A. Newman
  • "Insiders" and "Affiliates" - Section 16, Resales and Other Securities Law
  • Regulation of Proxy Solicitations
    David K. Boston
  • Regulation of Proxy Solicitations
    Linda E. Rappaport
  • Evolving Ethics and Professionalism Requirements
    Brian Korn
  • Evolving Ethics and Professionalism Requirements
    Brian Korn
  • Evolving Ethics and Professionalsim Requirements
    N. Adele Hogan, Brian Korn, Paul Salvatore
  • Evolving Ethics and Professonalism Requirements
    Paul Salvatore
  • Derivatives, Structured Notes and Other Alternatives to Traditional Securities Offerings
    Adam Fleisher
  • Derivatives, Structured Notes and Other Alternatives to Traditional Securities Offerings
    Anna T. Pinedo
  • Securities Law Aspects of Mergers, Acquisitions and Other Corporate Transactions
    Dennis J. Block, John A. Marzulli, Jr.
Chairperson(s)
N. Adele Hogan ~ Hogan Law Associates PLLC
Speaker(s)
Dennis J. Block ~ Greenberg Traurig, LLP
David K. Boston ~ Willkie Farr & Gallagher LLP
Donna Dabney ~ Executive Director of the Governance Center, The Conference Board, Inc.
Shelley J. Dropkin ~ Managing Director, Deputy Corporate Secretary and General Counsel, Corporate Governance, Citigroup Inc.
Adam Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
Karen J. Garnett ~ Associate Director, Disclosure Operations, United States Securities and Exchange Commission, Division of Corporate Finance
Mary Gail Gearns ~ Bingham McCutchen LLP
Kenneth L. Josselyn ~ Managing Director, General Counsel-Finance & Corporate, Goldman, Sachs & Co.
Douglas Koff ~ Paul Hastings LLP
Brian S. Korn ~ Pepper Hamilton LLP
Richard F. Langan, Jr. ~ Nixon Peabody LLP
Andrea Lowenthal ~ Senior Attorney, Australia and New Zealand Banking Group
Francis C. Marinelli ~ Simpson Thacher & Bartlett LLP
John A. Marzulli, Jr. ~ Shearman & Sterling LLP
Eileen McCarthy ~ Director, Corporate Counsel, JetBlue Airways Corporation
William A. Newman ~ Barton LLP
James Odell ~ Former General Counsel of UBS Investment Bank and Citi Investment Bank
Anna T. Pinedo ~ Morrison & Foerster LLP
Andrew J. Pitts ~ Cravath, Swaine & Moore LLP
Linda E. Rappaport ~ Shearman & Sterling LLP
Paul Salvatore ~ Partner, Proskauer Rose LLP
Andrew N. Siegel ~ Partner, Chief Compliance Officer and Chief Regulatory Counsel, Perella Weinberg Partners
Lawrence G. Wee ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
David Weild IV ~ Founder & Chairman, Weild & Co.
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch

PLI makes every effort to accredit its On-Demand Web Programs and Segments.  Please check the Credit Information box to the right of each product description for credit information specific to your state.


On-Demand Web Programs and Segments
 are approved in:

Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6,  North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14 and Wyoming*.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.


Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.


1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

 

2Iowa:  The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

3Missouri:  On-demand web programs are restricted to six hours of self-study credit per year.  Self-study may not be used to satisfy the ethics requirements.  Self-study can not be used for carryover credit.

 

4New Hamphsire:  The approval is for three years from recorded date.

5New Mexico:  On-Demand web programs are restricted to 4.0 self-study credits per year. 


6New York:  Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats. 

7North Carolina:  A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs. 


8Ohio:  To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us.  Online programs are considered self-study.  Ohio attorneys have a 6 credit self-study limit per compliance period.  The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

9Oklahoma:  Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.


10Pennsylvania:  PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
 

11Rhode Island:  Audio Only On-Demand Web Programs are not approved for credit.  On-Demand Web Programs must have an audio and video component.

12Tennessee:  The approval is for the calendar year in which the live program was presented.

13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

14Wisconsin: Ethics credit is not allowed.  The ethics portion of the program will be approved for general credit.  There is a 10 credit limit for on-demand web programs during every 2-year reporting period.  Does not approve of Audio-only On-Demand Webcasts.


Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.


If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.


Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu.

 
Related Items

Live Seminars  Live Seminars

Understanding the Securities Laws Fall 2015 (New York, NY) Dec. 17 - 18, 2015
Understanding the Securities Laws Fall 2015 (Chicago, IL) Oct. 27 - 28, 2015
Understanding the Securities Laws Summer 2015 (New York, NY) Jul. 23 - 24, 2015
Global Capital Markets & the U.S. Securities Laws 2015 (New York, NY) May. 29, 2015
Understanding the Securities Laws Fall 2014 (New York, NY) Dec. 11 - 12, 2014

On-Demand  On-Demand Programs

Global Capital Markets & the U.S. Securities Laws 2014: Raising Capital in an Evolving Regulatory Environment Jun. 18, 2014

Handbook  Course Handbook Archive

Understanding the Securities Laws Fall 2015  
Global Capital Markets & the U.S. Securities Laws 2015  
Understanding the Securities Laws Fall 2014 Gary M Brown, CMG Life Services, Inc.
Mark D Wood, Katten Muchin Rosenman LLP
N. Adele Hogan, Hogan Law Associates PLLC
 
Understanding the Securities Laws Summer 2014 N. A Hogan,
N. Adele Hogan, Hogan Law Associates PLLC
Andrea Lowenthal, Australia and New Zealand Banking Group
William A. Newman, Barton LLP
Lori B. Marino, ITT Corporation
Linda E. Rappaport, Shearman & Sterling LLP
Richard F. Langan, Jr., Nixon Peabody LLP
Dennis J. Block, Greenberg Traurig, LLP
Stuart D. Fishman, JPMorgan Chase & Co.
Kenneth L. Josselyn, Goldman, Sachs & Co.
Mary Gail Gearns, Bingham McCutchen LLP
Calissa W. Brown, DuPont
David K. Boston, Willkie Farr & Gallagher LLP
John A. Marzulli, Jr., Shearman & Sterling LLP
Anna T. Pinedo, Morrison & Foerster LLP
Rosa A. Testani, Akin Gump Strauss Hauer & Feld LLP
Douglas Koff, Paul Hastings LLP
Lawrence G. Wee, Paul, Weiss, Rifkind, Wharton & Garrison LLP
Harold B. Dichter, ARAMARK Corporation
Adam Fleisher, Cleary Gottlieb Steen & Hamilton LLP
Martha E. Solinger, Lehman Brothers Holdings, Inc.
Thomas W. Yang, Bank of America Merrill Lynch
Andrew J. Pitts, Cravath, Swaine & Moore LLP
Shelley J. Dropkin, Citigroup Inc.
Andrew N. Siegel, Perella Weinberg Partners
Jennifer L. Nadborny, Simpson Thacher & Bartlett LLP
Brian S. Korn, Pepper Hamilton LLP
Amanda Ravitz, U.S. Securities and Exchange Commission
Eileen McCarthy, JetBlue Airways Corporation
 
Understanding the Securities Laws Summer 2015  
Global Capital Markets & the U.S. Securities Laws 2014: Raising Capital in an Evolving Regulatory Environment Paul M Dudek,
David M Lynn,
 
Understanding the Securities Laws Fall 2013 Gary M Brown, CMG Life Services Inc.
Mark D Wood, Katten Muchin Rosenman LLP
N. A Hogan, Hogan Law Associates PLLC
 
Print Share Email