Understanding the Securities Laws 2008

November 17 - 18, 2008
University of Chicago - Gleacher Center-Chicago, IL

This program will provide insight on the interplay of the basic points of the Securities Act of 1933 ("Securities Act"), the Exchange Act of 1934 ("Exchange Act"), the Sarbanes-Oxley Act, and related SEC regulations. The following topics will be addressed:

  • Securities law "basics" - including how to approach securities law and what a "security" is
  • Regulatory framework of the Securities Act
  • Securities Act registration process
  • Securities Act exemptions
  • Resales of securities
  • Liability for securities law violations
  • Registration and reporting under the Exchange Act
  • Regulation of proxy solicitation and executive compensation
  • Regulation of M&A transactions and going private transactions
  • Rule 10b-5 and the impact of Stoneridge
  • Short-swing trading
  • New session! Alternatives to traditional public offerings, including PIPEs and spin-offs
  • Recent developments - raising capital in difficult markets

Michele L Odorizzi

Hosted by:

CLE Credit pending

For more information or to register, please visit