12-Hour Program

See Credit Details Below


Why You Should Attend

This popular two-day program will analyze in detail the forms used for filings with the SEC under the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical tips and/or interactive drafting exercises. Ethics credit and recent legislation and SEC rule changes affecting disclosure obligations will be woven within the topics covered.


What You Will Learn

• Exchange Act registration and reporting, including Forms 10-K, 10-Q, 8-K and more

• Securities Act registration statements, including discussion of eligibility, drafting, incorporation by reference, “experts,” consents, and “shelf” registration, as well as the confidential filing process for “emerging growth companies”

• A broad overview of proxy statements, including when preliminary filings are required, the shareholder proposal process, and year-end timing and filing issues, the “say-on-pay” rules, exchange listing standards for compensation committee members, and compensation adviser disclosures

• Mechanics and implications of risk disclosures in both Securities Act and Exchange Act filings

• A review of procedures in the SEC’s Division of Corporation Finance

Special Features

  • Earn one hour of Ethics credit

Who Should Attend

Practitioners interested in learning about and understanding the securities laws, as well as those who would like a review of the area will find this program useful. Securities Filings 2018 may also be suitable for other corporate, litigation, business law attorneys, and allied professionals who handle cases where issues under the securities laws can arise.

Program Level: Overview

Intended Audience: In-house counsel, outside attorneys, and other allied professionals responsible for the preparation of public reporting documents.

Prerequisites: A background in the preparation of public reporting and disclosure documents.

Advanced Preparation: None 

Credit Details