Securities Law for the Non-Securities Attorney (Update)

(392 Ratings)

Produced on: October 12, 2017

Course Format On Demand Audio

Taught by

Categories:

Course Description

Time 61 minutes
Difficulty Beginner

Join securities attorney Gary J. Ross for an engaging look at the basics of the securities laws. This program is designed to provide a general overview of U.S. securities law for practitioners in other areas of law, or for those new to the field. Mr. Ross will discuss the relevant sections of the Securities Law of 1933 and the Securities Exchange Act of 1934, and will also describe less-discussed securities laws such as the Trust Indenture Act, the Investment Company Act, and the Investment Advisers Act.  

Mr. Ross will address issues such as what exactly a “security” is, when securities must be registered and what registration entails, what the liability concerns are for companies issuing securities, what is required of broker-dealers, and the roles of the SEC and FINRA. The relationship (and, often, the tension) between federal securities laws and state “blue sky” laws will also be analyzed, as well as the effect of the Sarbanes-Oxley Act.  

Learning Objectives: 

  1. Review the federal securities regulations
  2. Understand the basics of securities law
  3. Identify what a “security” is and what it means to “register” a security
  4. Predict when potential liabilities may occur
  5. Grasp the relationship between federal securities laws and state “blue sky” laws
  6. Appreciate the roles of securities regulators




Faculty

Gary J. Ross

Ross & Shulga PLLC

Gary J. Ross has advised both small businesses and large Fortune 500 companies on a variety of transactional, disclosure, corporate governance and compliance matters.  He co-founded Ross & Shulga PLLC in 2017, a boutique law firm that focuses on corporate and securities law, investment funds, cryptocurrencies, crowdfunding and startup law.  Gary previously had his own firm, Jackson Ross, for four years, and previous to that he worked in the Corporate Transactions & Securities and Capital Markets practice groups at Sidley Austin LLP and Alston & Bird LLP.  

From 2009 to 2012, Gary served in the U.S. Department of the Treasury, where he managed conflicts of interest issues pertaining to contractors and financial agents engaged by Treasury to provide asset management, advisory, and other services relating to the Troubled Asset Relief Program (TARP). In that capacity, he developed and recommended compliance standards and regulation interpretation guidelines and designed the on-site testing carried out by the TARP audit department, during which he served as the subject matter specialist.  He also helped draft the federal regulation for conflicts of interests as they pertained to TARP, and prepared the official conflicts of interest responses to Special Inspector General of the Troubled Asset Relief Program (SIGTARP) inquiries.  

Mr. Ross is an adjunct professor at Seton Hall Law School and has lectured at schools such as Penn State Dickinson Law. He has been quoted in articles in MarketWatch, Corporate Counsel, The New York Times and the Associated Press.

Gary received his J.D. from Northwestern Law School in 2004 and earned a B.B.A. from the University of Miami in 1994.  Prior to attending law school, Gary worked as a Case Manager for the Tennessee Department of Human Services.

Gary is admitted to practice law in New York, the District of Columbia, and Georgia.

(Website www.RSglobal.law)

Reviews

PC
Paul C.

Great resource for those who don't practice in the area

EP
Elizabeth P.

Very good overview of securities law. I learned a lot!

PD
Patrick D.

On point with matters I am now working on.

ES
Eric S.

Mr. Ross is excellent. Well done.

DR
Dena R.

Probably the best presentation I've seen. Very thorough but keeps it's interesting. Practical tips. LOVED IT.

NF
Nathaniel F.

excellent presentation of a complex notices. Sensitizes non securities Attorneys to issues involved.

BS
B.A. S.

Really clear professor; easy to follow. Thank you!

CR
Chris R.

Always a great seminar by a great presenter.

GK
George K.

very informative for the attorney not familiar with securities regulations. this will help my practice.

CJ
Charles J.

This presentation was full of detail and an excellent refresher course

GP
Georgian P.

Great program! Very interesting!

MP
Marc P.

Good content

WB
William B.

Mr. Ross covered much material very well in the time provided.

JM
John M.

well presented

FR
Frank R.

Very good overview of Securities Laws

JB
Jessica B.

Good overview

KS
Kenneth S.

informative

JG
John G.

Good solid course, good instructor- I would take more of his courses

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$59

$ 59 Business, Corporate, & Securities Law In Stock

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