PLI presents Understanding the Securities Laws 2011
PLI's program will provide 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, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, the Dodd-Frank Act, and related SEC regulations, and on how a securities lawyer can solve practical problems that arise under them in the context of public and private offerings, SEC reporting, mergers and acquisitions, and other common corporate transactions.
Session Topics• 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• Reporting under the Exchange Act on Forms 10-K, 10-Q and 8-K• Regulation of proxy solicitations, including executive compensation and governance disclosure obligations, the SECs whistleblower, proxy access and say-on-pay rules, and the latest Dodd-Frank developments• 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• Securities law issues triggered by M&A and other common corporate transactions• Other public company disclosure issues
Paul Hastings partner Douglas Koff is a featured panelist on July 28 from 3:45 pm to 5:00 pm to discuss "Liability for Securities Law Violations and Exam Priorities." Topics to be covered:• Securities Act - Sections 11, 12, 15 and 17 - Indemnification and contribution• Exchange Act - Section 10 and Rule 10b-5 - Insider trading and selective disclosure• "Controlling person" liability• The latest on "aiding and abetting"• Considerations if you are facing an SEC regulatory exam
For additional information and to register, visit the PLI website