Comply with security law requirements and avoid serious legal liability issues.
This topic is designed to assist the paralegal in the client's 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.
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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
An Overview of the Securities Act of 1933
- The Securities Act of 1933 (Offers, Sales, Registrations, and Exemptions)
- The Securities Exchange Act of 1934
- Public Company Reporting Requirements
- Officers, Director and 10% Holder Requirements
- Don'T Forget State Bluesky Laws
- Enforcement Issues (Rule 10B-5)
Paralegal's Role in Securities Laws
- Deadlines for Filings (10-K, 10-Q, 8-K, etc.)
- Document Preparation (Questionnaires, Agendas, Checklists)
- Blue Sky Filings
- Stockholder Meetings/Proxy Statements
- Mergers and Acquisitions
- Nyse/Nasdaq Issues
General Corporate
- Forming Entities (Corporations, LLCs, Limited Partnerships
- UCC Searches
- Obtaining State Certificates for Closings
- Proofreading
The Paralegal and Law Practice
- Assisting the Lawyer With Securities Law Compliance
- Helping Clients Understand the Framework of Securities Laws
- The Lawyer's Role Before the SEC
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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.
Credits
OnDemand Course
This course was last revised on June 17, 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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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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