Product Description

Whether your client’s goal is to raise money for business expansion, or simply to put existing cash to work in the market, securities can be the answer. Securities come in a wide variety of forms: stocks, bonds, mutual funds, certificates of interest, promissory notes, profit sharing agreements, investment contracts, and even certain joint ventures. Yet, in all forms, securities reflect an investment with risk of loss and the hope of profit. 

A very complex set of laws and regulations govern securities. Securities laws do not proscribe what sorts of investments can be bought or sold—they simply demand full and fair disclosure of relevant information so that buyers can make informed choices. That simple idea—transparency—gives rise to a host of laws governing the companies that issue securities, the intermediary firms that transact in securities, and the enforcement of violations. In this new program, experienced securities practitioners provide an overview of the basis of securities laws from each of these perspectives.

Agenda & Materials

• 2:00 - 2:05 p.m.

  Welcome and Introduction
• 2:05 - 2:55 p.m.

  Registration of Securities Offerings and Exemptions from Registration

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  • Disclosure Requirements in Securities Offerings
  • Becoming Subject to Periodic Reporting Requirements
  • Overview of Filing Requirements for Periodic and Current Reports and Proxy Statements

  Stephen M. Migausky, Esq., Vertex Pharmaceuticals, Inc. , Boston
  
• 2:55 - 3:45 p.m.

  Definition and Registration of Investment Advisors

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  • Fiduciary Obligations of Investment Advisors
  • Definition of Investment Company, Including Exceptions and Exemptions
  • Implications of Registration as an Investment Company

  Michelle E.P. Nunez, Esq., Foley & Lardner LLP , Boston
  
• 3:45 - 3:55 p.m.

  Networking and Refreshment Break
• 3:55 - 4:45 p.m.

  SEC Enforcement Powers

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  • Role of Self-Regulatory Organizations
  • Securities Class Actions and Derivative Actions
  • State “Blue Sky” Laws, Including the Massachusetts Uniform Securities Act

  Sarah L. Murphy, Esq.,
  
• 4:45 - 5:00 p.m.

  "Ask the Experts" Q&A Session

  Panel
  

Please Note

MCLE webcasts are delivered completely online, underscoring their convenience and appeal. There are no published print materials. All written materials are available electronically only. They are posted 24 hours prior to the program and can be accessed, downloaded, or printed from your computer.

Chair

Faculty