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Item#: 18944
Price: $1,595.00
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Securities Filings 2009

Released on: Nov. 27, 2009

Overview

Special Note - New York Transitional credit for this program is only available to New York licensed attorneys practicing law outside the U.S.

DVD's from the program Securities Filings 2009, held October  2009.

Available November 2009.

What You Will Learn

An in-depth examination of the SEC’s rules and staff policies and practical guidance on these and other topics:

  • Pending and recently adopted SEC proposals, including the proposed adoption of IFRS
  • Overview of Regulation S-K and the requirements for smaller reporting companies
  • Periodic reports under the 1934 Act, including forms 10-K, 10-Q, and 8-K requirements
  • Compensation discussion and analysis, including current SEC concerns
  • Proxy statements, annual reports to stockholders and the proxy rules
  • SEC rules affecting the public offering process
  • Issuance of securities in mergers and acquisitions
  • Ethics in practice before the SEC
  • Section 16

Schedule

To come.

Faculty

Chairperson(s)

Steven V. Bernard, Wilson Sonsini Goodrich & Rosati, PC

Speaker(s)

Mark A. Borges, Principal, Compensia, Inc.
Gary M. Brown, Chairman - Corporate Department, Baker, Donelson, Bearman, Caldwell & Berkowitz, PC
Daniel J. Bursky, Fried, Frank, Harris, Shriver & Jacobson LLP
Janet L. Fisher, Cleary Gottlieb Steen & Hamilton LLP
Karen J. Garnett, Assistant Director, Real Estate and Business Services, Division of Corporation Finance, U.S. Securities and Exchange Commission
Jeffrey S. Hochman, Willkie Farr & Gallagher LLP
N. Adele Hogan, Special Counsel, Cadwalader, Wickersham & Taft LLP
Gideon Schor, Wilson Sonsini Goodrich & Rosati, PC
Babak Yaghmaie, Cooley Godward Kronish LLP

Program Attorney(s)

Danielle T. Bersofsky, Program Attorney, Practising Law Institute

CLE Credit

PLI makes every effort to accredit its recorded programs.  Please check the CLE Calculator above for CLE information specific to your state.

PLI Audio CDs and  DVDs are approved in the following states/territories: AK, AZ, CA, CO, DE, FL, GA, ID*, IL, KS1, LA*, ME, MO, MT, ND, NH*, NJ, NM, NV, NY, OR*,  PA, TX, UT, VI, VT, WA, WV, WY. Some exceptions apply. For more information contact PLI.

1 Kansas: Recorded items, such as CDs, DVDs, and MP3s, will be accredited if a qualified person is in attendance, personally or by telephone, to comment and answer questions. There is a 5.0 credit limit per year for this type of viewing.

*
PLI will apply for credit upon request.

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

Special Note: In New York, non-traditional course formats including audio and video cassettes are NOT acceptable for transitional CLE credit for the newly admitted attorney within the first two years after their admission to the Bar. Attorneys other than newly admitted may use non-traditional course format, including audio and video cassettes to fulfill their CLE requirements.

IMPORTANT GENERAL INFORMATION

This product is designed to provide practical and useful information on the subject matter covered.  However, it is sold with the understanding that the publisher is not engaged in rendering legal, accounting or other professional services.  If legal advice or other expert assistance is required, the services of a competent professional should be sought.

Running time and CLE credit hours earned are not necessarily the same.

Please be aware that many states do not permit CLE credit for luncheon 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.

IMPORTANT INFORMATION FOR ATTORNEYS SEEKING CLE CREDIT

  1. While viewing/listening to the program, be alert to listen for the AUTHORIZATION CODE which has been placed somewhere within the program.  For programs that consist of more than one CD, please be advised that there is an authorization code placed on each CD.  Write the code(s) down; you will be asked for this information when you request CLE credit..
     
  2. Once you’ve completed the program, please go to www.pli.edu and log in.

    a. Click on the ‘My PLI History’ link found under the "My Account" Page.
    b. Find the title in the listing and click on Apply for Credit under Credit Status.  You will be asked to complete a short evaluation, and fill in the AUTHORIZATION CODE.

  3. Once you click the Submit button, your request for CLE credit will be sent to the CLE department.  PLI will email you a CLE certificate in about two weeks.

  4. If you are unable to successfully log in, please contact our customer service department at 800-260-4754 for assistance.


Calculate Credits calculator
CLE-NY Credits
Credit Status: Approved
Expiration Date: 11/27/2012
Transitional:  Yes outside of US
Total Credits:  15.50
  Ethics:  1.00
  Skills:  1.00
  Professional Practice:  13.50



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