2-Day Program

See Credit Details Below


Why You Should Attend

Whether you are new to the field or seeking a quick refresher or an update, this is the securities law primer that you won’t want to miss. This program will provide an in depth review of the basic aspects of the U.S. federal securities laws.  Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, the Dodd-Frank Act, the JOBS Act, the securities related provisions of the FAST Act, related SEC regulations and significant legislative and regulatory changes and proposals.

Our expert faculty, including leading in-house and law firm practitioners as well as members of the SEC, will show how securities lawyers can solve practical problems that arise in the context of public and private offerings, SEC reporting, mergers and acquisitions and other common corporate transactions. 

What You Will Learn

  • How the integrated disclosure system and the regulatory scheme work as a whole, including annual reporting obligations and common triggers of the “duty to disclose”
  • Issues related to registering securities under the Securities Act, including the advantages and disadvantages of “going public”
  • Exchange Act reporting on Forms 10-K, 10-Q and 8-K
  • Issues relating to proxy solicitation in an age of corporate activism, including key takeaways from pay ratio disclosures
  • Securities law issues confronting corporate executives and officers
  • Securities offerings that are exempt from Securities Act registration, including private placements, Regulation A+ offerings and crowdfunding
  • Liabilities that exist for securities law violations, including insider trading
  • Securities law issues triggered by M&A and other strategic transactions

Special Features

  • “What’s New in Securities Law? Traps for the Unwary”
  • Earn up to two full hours of Ethics credit
  • NY Transitional Attorneys: Earn Professional Skills credit

Who Should Attend

Attorneys with the need to keep up with all aspects of securities laws, regardless of their years of experience, will find this program and its best practices invaluable. This course is particularly beneficial for corporate associates in their early years of practice and can serve as part of a comprehensive corporate training program. It also may be suitable for other corporate, litigation and business law attorneys who handle matters in which issues under the securities laws can arise.


Program Level: Basic

Intended Audience:  All attorneys interested in understanding securities laws and the latest best practices.  This course is particularly beneficial for corporate associates in their early years of practice.

Prerequisites: None

Advanced Prep: None

Credit Details

Schedule & Location