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

Originally held on Friday, September 15, 2017 | 9 am - 1 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: 3.5 total: 2.5 general & 1.0 professional responsibility
PA: 3.5 total: 2.5 general & 1.0 professional responsibility

On-Demand: Member $189 | Nonmember $289

Download Program Agenda & Faculty. Download Registration Form

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.


New York City Bar
42 West 44th St
New York, NY 10036


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