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What You Need to Know About Capital Markets Law: SEC Securities Registration vs. Private Placements, SEC Reporting and SEC Liability (Live Program)


Friday, September 15, 2017 | 9 am - 1:00 pm

CLE Credit
NY: 4.0 total: 3.0 professional practice, 1.0 ethics
NJ: 4.5 total: 3.3 general, 1.2 professional responsibility
CA: 4.0 total: 3.0 general, 1.0 professional responsibility
PA: 3.5 total: 2.5 general, 1.0 professional responsibility

Member $239.00 | Nonmember $339.00
In House Counsel: Member: $169.00 | Nonmember: $269.00.00

Click Here to View Program Agenda & Faculty

A prominent faculty of securities lawyers will provide you with an overview of the Securities Act of 1933 and the Securities Exchange Act of 1934. A discussion of the regulatory framework, the SEC registration process, registration exemptions, liability for violations, periodic reporting under the Exchange Act, proxy solicitations and SEC initiatives will be included in the program. You will learn how to identify and respond to securities law issues and avoid potential securities law violations. The program will cover initial public offerings (IPOs) and private placements.
Program Chair: N. Adele Hogan, Former Director, Deutsche Bank

Sponsoring Committees:
Financial Reporting | David S. Huntington, Chair Securities Regulation | Marc M. Rossell, Chair

 

Where:
New York City Bar
42 West 44th St
New York, NY 10036
Member Price:   $239.00



 

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Program
 

 
9/15/2017 9:00 AM
Thank you for registering. Your registration includes a "Printed Copy" of the program course materials. We encourage you to decline the printed materials and "Go Green" by selecting an electronic PDF download. If you select the PDF option you will NOT receive a printed copy of the course materials at the program. If you would like to view the materials during the program, you can either bring a portable electronic device such as a tablet or laptop or a printed copy of the materials. WI FI access will be available. TO DECLINE THE PRINTED MATERIALS, please click on the ADD tab.

9:00 AM - 1:00 PM