PLI's Understanding the Securities Laws Fall 2014
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.
The takeaways from this PLI program:- 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
Paul Hastings partner Doug Koff is a featured speaker for this program.
For additional information and to register, visit the PLI site