3-Hour Program

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PLI’s blog edited by Clifford E. Kirsch on Regulatory Developments for BDs and IAs.

Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the SEC works to administer these laws. In this program, you will be given an introduction to the federal securities laws as well as the operating divisions at the SEC that administer the laws. You will be provided with what you need to know about how the SEC administers the securities laws — and the other agencies that the SEC interacts with on a regular basis. 

What You Will Learn

• The sources of securities law and regulation 
• A look at the structure of the SEC’s enforcement program
• SEC review of disclosure documents 
• The different roles and responsibilities of the SEC’s operating divisions
• The role of the SEC’s regional offices versus the SEC’s headquarters


Program Level: Overview

Intended Audience: Attorneys, compliance, business and allied professionals

Prerequisites: An interest in the securities laws and securities practice

Advanced Preparation: None 


Credit Details

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