Ensure blue sky compliance and gain the necessary skills you need to completely and accurately file.
Many lawyers and clients believe that federal securities law is the principal (and sometimes only) securities law to be observed. State securities laws are often overlooked, especially by clients. Paralegals can play a major role in helping both the lawyer and especially the client. This is especially true in compliance with state securities laws (i.e., Blue Sky Laws). In the 50 states and District of Columbia, a company offering and selling securities must not only take into account the Securities Act of 1933 for federal compliance but also the state securities laws in which securities are offered and sold. This seminar is intended to acquaint the paralegal with the importance of Blue Sky Law compliance, the ways in which Blue Sky Law compliance can be achieved, samples of the differences (sometimes only slight, but nevertheless significant) in how state Blue Sky Laws are applied. For exempt offerings, Blue Sky Laws may offer more than one exemption. Examples of conversations and feedback of state securities administrators are given to help demonstrate the various applications of state Blue Sky Laws.
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Agenda
Paralegal's Role in Securities Laws Generally
- Assist Counsel
- Familiarity With State and Federal Securities Laws
- Preparation of Documents and Filings
An Overview of the Securities Laws
- The Securities Act of 1933
- Never Dismiss State Securities Laws (I.E., Blue Sky Laws)
Deeper Dive Into Blue Sky Territory
- Section 18 of the Securities Act (Nsmia) and Covered Securities
- The Meaning of Covered Securities
- The Significance of Nsmia for Blue Sky Laws
- Sample Blue Sky Filing Issues (Appendices a and B)
General Corporate
- Entity Formation
- Local Law Issues Such as UCC Searches and Certifications
- Proofreading
- Assisting With State Blue Sky Filings
The Paralegal and Law Practice
- Assisting the Lawyer With Securities Law Compliance
- Keep in Mind the Lawyer's Responsibility
- Assisting Clients to Understand the Framework of Securities Law Compliance
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Credit
More Program Information
Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Credits
OnDemand Course
This course was last revised on February 27, 2024.
Call 1-866-352-9540 for further credit information.
- NALA 1.0
- This program is applicable for continuing legal assistant education credit. Please check with your accrediting board to see if this course will qualify towards your recertification requirements.
Program Length: 1.0 hour(s).
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
MP3 Download
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
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Credit
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
Faculty
Michael D. Waters
Jones Walker LLP
- Partner in the Birmingham, Alabama office of Jones Walker LLP
- Practiced in the corporate and securities area, primarily for financial institutions, for more than 35 years, representing banks, bank holding companies, and other financial entities in acquisitions, capital raising transactions, SEC and shareholder issues, new bank formations, and board fiduciary duty issues
- Advised buyers and sellers in approximately 120 bank mergers and acquisitions, ranging from small community banks to the acquisition of a $34 billion holding company
- Recognized in Chambers USA, banking, and finance annually since 2013
- Recognized by Alabama Super Lawyers annually since 2008 for work in the banking and securities and corporate finance area
- Named by Best Lawyers in America annually since 1995 for work in the area of banking and finance law, corporate law, and financial services regulation law
- J.D. degree, University of Alabama School of Law; M.A. degree, Rhodes Scholar, Oxford University; B.A. degree, Duke University
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Why Lorman?
Over 37 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.
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