Seminar
November 17 - 18, 2008
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
Speakers:
Michele L Odorizzi
Hosted by:
PLI
CLE Credit pending
For more information or to register, please visit www.pli.edu
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