transcript   Transcript

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

Recorded on: Oct. 30, 2017
Running Time: 01:07:37

Full Transcript:

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Taken from the Web Program Securities Law and Practice 2017: How the SEC Works Recorded October 2017 in New York.

Laying the Groundwork – The Basics of the SEC and Securities Laws [01:07:37]
  • Origins of the SEC and the Federal Securities Laws
  • Interaction between the Federal and State Securities Laws
  • The Interaction of the SEC with Other Regulators
  • How the SEC Speaks

Clifford Kirsch, Harry S. Pangas

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

  • Approaching Securities Law
    Gary M Brown
  • The Laws That Govern the Securities Industry
    Clifford E. Kirsch
  • Researching the Federal Securities Law Through the SEC Website
    Clifford E. Kirsch
  • Overview of the Registration Provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 (August 2017)
    Harry S. Pangas
  • Legal Alert: Supreme Court Decision Imposes Strict Filing Deadline on Civil Actions Related to Securities Offerings (August 25, 2017)
    Harry S. Pangas, Bruce M. Bettigole, Payam Siadatpour
  • Foreign Private Issuers (“FPIs”): Reporting Requirements and Other Select Items (August 2017) (PowerPoint slides)
    Harry S. Pangas, J. Clay Douglas
  • Regulatory Framework of Securities Act Registration
    Gary M. Brown
  • Registration and Periodic Reporting Under the Exchange Act
    Gary M. Brown

Presentation Material

  • The Basics of the SEC and Federal Securities Laws
    Clifford E. Kirsch, Harry Pangas
Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
Harry S Pangas ~ Eversheds Sutherland (US) LLP
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