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On Demand

Securities Law for the Non-Securities Attorney (Update)

1h 1m

Created on October 12, 2017



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

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