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“20 Questions” – What’s on Your Mind and What’s New in Securities Law?

Recorded on: Jul. 18, 2017
Running Time: 01:02:13

Full Transcript:



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

“20 Questions” – What’s on Your Mind and What’s New in Securities Law? [01:02:14]
  • Beyond the ’33 and ’34 Acts, what other securities laws should you be aware of, such as the Trust Indenture Act, Investment Company Act, Investment Advisers Act and “blue sky laws”?
  • Do you need to be concerned with broker-dealer registration requirements?  What are the basics? What are “finders”?
  • How are materiality judgments made?
  • What are other current “hot topics,” such as:
    • Non-GAAP disclosures
    • Disclosing loss contingencies
    • Cyber-security disclosure and practice
    • Social media, website and other internet disclosure issues
  • What are the recent legislative, judicial or regulatory actions that you need to be aware of?

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

  • Cleary Gottlieb Steen & Hamilton LLP, Alert Memorandum, The Hague Securities Convention Goes Live April 1, 2017 (March 29, 2017)
    Adam E. Fleisher
  • Matthew C. Solomon, et al., Cleary Gottlieb Steen & Hamilton LLP, Cleary M&A and Corporate Governance Watch, Acting SEC Chair Michael Piwowar Takes Steps to Centralize the Process of Issuing Formal Orders—Are Commentators Drawing the Right Lessons? (February 28, 2017)
    Adam E. Fleisher
  • Cleary Gottlieb Steen & Hamilton LLP, Alert Memorandum, Jury Awards Ousted General Counsel Nearly $11 Million in Whistleblower Retaliation Action—Key Takeaways (February 21, 2017)
    Adam E. Fleisher
  • Elizabeth (Lisa) Vicens, et al., Cleary Gottlieb Steen & Hamilton LLP, Cleary M&A and Corporate Governance Watch, Supreme Court Clarifies Insider Trading Liability for Confidential Tips (December 7, 2016)
    Adam E. Fleisher
  • Neil Markel, Cleary Gottlieb Steen & Hamilton LLP, Cleary M&A and Corporate Governance Watch, Smoothing the Pathway to Use of Tender Offers in Private Equity Acquisitions (December 6, 2016)
    Adam E. Fleisher
  • Daniel Ilan, et al., Cleary Gottlieb Steen & Hamilton LLP, Cleary M&A and Corporate Governance Watch, Privacy in M&A Transactions: Navigating the Traps (October 24, 2016)
    Adam E. Fleisher
  • Daniel Ilan, et al., Cleary Gottlieb Steen & Hamilton LLP, Cleary M&A and Corporate Governance Watch, Privacy in M&A Transactions: Navigating the Traps, Part 2 (October 25, 2016)
    Adam E. Fleisher
  • Sullivan & Cromwell LLP, SEC Adopts T+2 Settlement Cycle (March 28, 2017)
    Catherine M. Clarkin
  • Commodity Futures Trading Commission, Office of Public Affairs, Fact Sheet—Final Rule Regarding Margin for Uncleared Swaps (December 16, 2015)
    N. Adele Hogan
  • Chapter 16: The SEC’s New Pay Ratio Disclosure Rule
    Gary M. Brown

Presentation Material

  • “20 Questions”: What’s on Your Mind and What’s New in Securities Law?
    Catherine M. Clarkin, Adam E. Fleisher
(s)
Catherine M Clarkin ~ Sullivan & Cromwell LLP
Adam Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
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