Description
Comply with security law requirements and avoid serious legal liability issues.
This topic is designed to assist the paralegal in the clients compliance with the securities laws. The focus will primarily be upon the Securities Act of 1933 and the Securities Exchange Act of 1934, with commentary upon registration requirements, exemptions from registration and how they work, the reporting requirements with the SEC by public companies, and merger and acquisition issues. A brief commentary on state Blue Sky Laws will be provided because Blue Sky Laws are often overlooked or considered at the last minute. How the paralegal can give practical help to the lawyer will also be covered, and this will include assistance with state corporate filings, good standing certificates, and other documents needed for transactions or closing of securities sales. Finally, how the lawyer (and therefore the paralegal) must deal with the SEC will be covered. An appendix will give brief samples of several SEC exemption rules for securities sales and the relative recent integration rules which are helpful to the client and the lawyer.
Date: 2024-06-17 Start Time: 1:00 PM ET End Time: 2:05 PM ET
Learning Objectives