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Inside the SEC – How the SEC Works

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Recorded on: Oct. 30, 2017

CLIFFORD E. KIRSCH: Alrighty. We are back. We covered the securities laws. And you got a little bit of the organization of the SEC. But there's a lot to do. So how does the SEC go about it? And taking a look inside the SEC, what are the different roles and responsibilities of the SEC's operating divisions? Who does what there? How does the chairman's office interact with the other commissioners versus the division? And we couldn't ask for a better ...

Inside the SEC – How the SEC Works

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Recorded on: Oct. 30, 2017

Taken from the Web Program Securities Law and Practice 2017: How the SEC Works Recorded October 2017 in New York. Inside the SEC – How the SEC Works [00:58:20] 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 reviews corporate disclosures? How is the SEC’s enforcement program ...

Laying the Groundwork – The Basics of the SEC and Securities Laws

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Recorded on: Oct. 30, 2017

HARRY PANGAS: Well, thank you very much, Cliff. I'm excited to be here and share with you a subject that I've spent my entire 20 year career. I was actually hesitant to push 20 years I've been practicing, because I'd rather be practicing for one year and be a lot younger. And that is, basically, dealing with the federal securities laws, as well as the regulatory agency that oversees those federal securities laws, the SEC. As Cliff mentioned, I worked ...

The Special Role of the Securities Lawyer—Legal Ethics

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Recorded on: Oct. 30, 2017

CLIFFORD E. KIRSCH: Thanks. Thanks and welcome back. We've covered the securities laws-- looking-- taking a survey of the different securities laws. And we also covered what the SEC does-- how they go about fulfilling their mission. And on this, we want to bring it closer to you as a securities lawyer-- what does it mean in terms of the special considerations for lawyers who practice and appear before the SEC? The special role of securities lawyer-- ...


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