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Understanding the Securities Laws Fall 2014 (Live Webcast)

Sponsor of Event: Practicing Law Institute
December 11 - 12, 2014
8:00 AM - 4:15 PM


Baker Donelson
211 Commerce Street
Suite 800
Nashville, Tennessee


December 11 - 12, 2014
8:00 AM - 4:15 PM

Day One (Dec. 11) 8:00 am – 4:00 pm CT
Day Two (Dec. 12) 8:00 am – 4:15 pm CT

Who should attend
Attorneys with the need to expand their knowledge and keep up with all aspects of securities laws, including senior in-house attorneys, attorneys with expertise in other fields and all attorneys interested in understanding securities laws and the latest best practices. Additionally, this course may be suitable for other corporate, litigation and business law attorneys who handle cases in which issues under the securities laws can arise.

Why you should attend
Whether you are new to the field or seeking a quick refresher or an update, this is a securities law primer that you won’t want to miss. This program provides an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act of 1933 and the Securities Exchange Act of 1934 and related SEC regulations, how those laws were affected by the Sarbanes-Oxley Act, the Dodd-Frank Act and the controversial Jumpstart Our Business Startups ("JOBS") Act, which created the concept of "emerging growth companies." Panelists will provide practical guidance on how securities lawyers can address issues that arise under those laws in the contexts of public and private offerings, SEC reporting, mergers and acquisitions, and other corporate transactions.

What you will learn

  • Overview of the integrated disclosure system and the regulatory scheme as a whole, including annual reporting obligations and common triggers of the "duty to disclose"
  • Registering securities under the Securities Act and exemptions from registration, including recent and proposed changes resulting from the JOBS Act
  • Registration and reporting under the Exchange Act and how the JOBS Act changes that
  • Regulation of proxy solicitations, including recent rule changes and scaled executive compensation disclosure for "emerging growth companies"
  • Securities issues confronting corporate "insiders," including Section 16 reporting and liability, and guidance regarding 10b5-1 trading plans
  • Liability for securities law violations, including insider trading
  • Derivatives and structured products - the basics
  • Securities law issues triggered by M&A and other corporate transactions
  • Other public company disclosure issues

Cost: $1,695.00

Registration Contact: PLI Customer Service 1.800.260.4754

Events Contact

Heather Stripling
T: 205.250.8332
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