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Securities Filings 2014: Practical Guidance in a Changing Environment

Seminar  Seminar

This popular program will analyze in detail the principal forms used for filings with the SEC under the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical tips and/or interactive drafting exercises. Ethics credit and recent legislation and SEC rule changes ...

Featured Faculty/Authors
Mark D. Roellig

Mark D. Roellig ~ Executive Vice President and General Counsel, MassMutual Financial Group

Jodie Berger

Jodie Berger ~ Regional Counsel, Legal Services of Northern California

David G. Wilkins

David G. Wilkins ~ Chief Compliance Officer, SNC-Lavalin Group