Securities Law 101: Fundamental Terms, Regulatory Framework, Compliance and Disclosure Requirements, Common Violations
A live 60-minute premium CLE video webinar
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.
Outline
- 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
Benefits
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?
Faculty
Liz M. Dunshee
Shareholder
Fredrikson & Byron
Ms. Dunshee advises public and pre-public companies on a full range of securities law compliance and corporate... | Read More
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.
Close
David Hamm
Former SVP, Deputy General Counsel and Assistant Secretary
Summit Materials
Mr. Hamm provides critical legal and business guidance to public companies. His experience spans public company... | Read More
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.
Early Discount (through 04/25/25)