Securities Law 101: Fundamental Terms, Regulatory Framework, Compliance and Disclosure Requirements, Common Violations
Course Details
- smart_display Format
Live Online with Live Q&A
- signal_cellular_alt Difficulty Level
Intermediate
- work Practice Area
Banking and Finance
- event Date
Tuesday, May 20, 2025
- schedule Time
1:00 p.m. ET./10:00 a.m. PT
- timer Program Length
90 minutes
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This 90-minute webinar is eligible in most states for 1.5 CLE credits.
This CLE webinar will provide a general overview of securities law and how this area of law intersects with general business and corporate law. The panel will review fundamental securities law terms, the securities registration framework, compliance and disclosure requirements, and common securities law abuses and violations.
Mr. Hamm provides critical legal and business guidance to public companies. His experience spans public company reporting, capital markets, M&A, corporate governance, risk management, employment/HR, and litigation. Partnering with senior leadership and the board of directors, he helps drive key strategic initiatives, ensuring regulatory compliance and mitigating risk across the enterprise. With a proven track record in managing complex transactions, navigating securities regulations, and supporting corporate growth, Mr. Hamm thrives in environments where legal strategy intersects with business innovation. He takes pride in fostering cross-functional relationships and aligning legal approaches with broader organizational goals.
Ms. Dunshee advises public and pre-public companies on a full range of securities law compliance and corporate governance matters – bringing a unique combination of legal understanding, trend-spotting, and business sense. For nearly 20 years, she has been immersed in SEC and stock-exchange based disclosure issues, stock exchange listing compliance, investor communication and engagement trends, insider trading and Rule 10b5-1 plans, executive compensation issues, executive succession matters, and board effectiveness. Ms. Dunshee works closely with boards and corporate secretaries to navigate disclosure issues, activism defense, and responses to shareholder proposals – as well as to manage board and committee roles and procedures.
Securities law involves a complex regulatory landscape governing financial instruments such as stocks, mutual funds, and bonds. There are several agencies (both state and federal) that are responsible for monitoring various aspects of securities law compliance, including among others, the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange (NYSE), and NASDAQ.
Through the securities registration process, securities laws are aimed at providing investors with important financial and other significant information to allow investors to make informed investment decisions while also prohibiting deceit, misrepresentations, and other fraud in the sale of securities.
While securities laws primarily apply to public companies, they also can significantly impact private companies looking to raise capital or engaging in a merger and acquisition or divestiture. Having a broad understanding of securities law is essential for general or specialized business or corporate lawyers as well as lawyers just starting out in this practice area.
Listen as our authoritative panel provides a practical overview of federal securities laws while emphasizing common areas most business and corporate lawyers will confront in their practice.
- Overview: fundamental securities law terms and definitions
- How securities law overlaps with other practice areas: general corporate and business law and M&A
- Securities registration framework and process: federal and state law regulations
- Exemptions from registration
- Disclosure duties and common filings
- Common securities law violations
- Practitioner takeaways
The panel will discuss these and other key considerations:
- Why is it important for most business and corporate law attorneys to have a general understanding of securities law?
- What is the securities law registration framework and process?
- What transactions are exempt from registration?
- What are the disclosure duties and common filings required under the securities laws?
- What are common securities law abuses?
Related Courses
Securities Law 101: Fundamental Terms, Regulatory Framework, Compliance and Disclosure Requirements, Common Violations
Saturday, March 22, 2025
1:00 p.m. ET./10:00 a.m. PT