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