2-Hour Program

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Why You Should Attend
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 different roles and responsibilities of the SEC’s operating divisions
• The role of the SEC’s regional offices versus the SEC’s headquarters
• Interaction between Federal and State law, and the SEC and other regulators
• A look at the SEC’s enforcement and exams

Who Should Attend
Attorneys and compliance and business professionals seeking to gain a foundation in the securities laws and securities practice will find this program useful. Additionally, the program provides current information on various SEC-related practice issues that will interest more experienced securities attorneys.

Intended Audience: Attorneys, compliance, business and allied professionals
Prerequisites: An interest in the securities laws and securities practice

Credit Details

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