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Past Event
27 October 2015 - 28 October 2015


  • David A. Schuette
    T +1 312 701 7363

Understanding the Securities Laws Fall 2015

University of Chicago Gleacher Center
450 N. Cityfront Plaza Drive
Chicago, Il 60611

Why You Should Attend

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 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, the JOBS Act and related SEC regulations, and on how securities lawyers 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. 

What You Will Learn

  • 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
  • Reporting under the Exchange Act on Forms 10-K, 10-Q and 8-K
  • Regulation of proxy solicitations
  • Securities issues confronting corporate “insiders,” including Section 16 reporting and liability, and guidance regarding 10b5-1 trading plans
  • Private placements, crowd funding, new Regulation A+ rules and Regulation D rules
  • 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

Special Features:

  • Earn up to two full hours of Ethics credit, exploring ethical issues encountered in securities practice, including those associated with FCPA and cybersecurity practice
  • NY Transitional Attorneys: Earn Professional Skills credit

Mayer Brown partner David Schuette will speak on a panel titled “’Insiders’ and ‘Affiliates’ – Section 16, Resales and Other Securities Law Issues Corporate Carveouts and Divestitures.”

For more information or to register, please click on the button below.

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