transcript   Transcript

Introduction to Securities Laws

Recorded on: Jul. 18, 2017
Running Time: 01:34:29

Full Transcript:



If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the Web Program Understanding the Securities Laws 2017 recorded July, 2017 in New York.

Introduction to Securities Laws [01:34:29]
  • Sources of securities law
  • How to approach securities law
  • Working with the SEC
  • Securities Act of 1933
  • Securities Exchange Act of 1934
  • Integrated disclosure system
  • Rules for WKSIs, smaller reporting companies and emerging growth companies
  • What is a “security”?
  • What is an “offer,” a “sale” and a “prospectus”?
  • Who is an “underwriter”?

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Chapter 1: Approaching Securities Law, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition)
    Gary M. Brown
  • Chapter 3: Regulatory Framework of Securities Act Registration, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition)
    Gary M. Brown
  • Chapter 5: Reach of Securities Act Regulation, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition)
    Gary M. Brown
  • Chapter 9: Registration and Periodic Reporting Under the Exchange Act, Practising Law Institute, Securities Law and Practice Deskbook (Sixth Edition)
    Gary M. Brown
  • Introduction to Securities Law (PowerPoint slides)
    Gary M. Brown

Presentation Material

  • Introduction to Securities Laws
    Kenneth L. Josselyn
(s)
N. Adele Hogan ~ Director , Deutsche Bank AG
Kenneth L Josselyn ~ Managing Director, General Counsel-Finance & Corporate, Goldman Sachs & Co. LLC
Share
Email
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.

  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

  • Can I get CLE credit for reading the transcript?
    No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.