On Demand Audio

Securities Law for the Non-Securities Attorney (Update)

(755 reviews)

Produced on October 12, 2017

Taught by
$ 59 Business, Corporate, & Securities In Stock
Get started now

$299 / year - Access to this Course and 1,500+ Lawline courses


Course Information

Time 1h 1m
Difficulty Beginner
Topics covered in this course: Business, Corporate, & Securities

Course Description

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

Credit Information

After completing this course, Lawline will report your attendance information to {{ accredMasterState.state.name }}. Please ensure your license number is filled out in your profile to ensure timely reporting. For more information, see our {{ accredMasterState.state.name }} CLE Requirements page . After completing this course, {{ accredMasterState.state.name }} attorneys self-report their attendance and CLE compliance. For more information on how to report your CLE courses, see our {{ accredMasterState.state.name }} CLE Requirements FAQ .


Gary J. Ross

Ross Law Group, PLLC

Gary J. Ross advises venture capital funds, angel investors, and emerging growth companies a variety of transactional, disclosure, corporate governance and compliance matters. He founded Ross Law Group, PLLC in 2017, a boutique law firm that focuses on corporate and securities law, investment funds, and startup law. Gary previously worked at Jackson Ross, another firm that he founded, 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 Brooklyn Law School and 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.rosslawgroup.co)


Alexis F.

A lot to cover in 60 minutes.

Assly S.

Good informational background. Would love to see a follow up course on more practical tips/examples for attorneys who do corporate formations visa vi securities issues.

Eric P.

Great presentation

Christopher B.


Jeffrey M.


Gale N.

Good overview of securities.

Steve S.

Solid course on the basics.

Mark H.

Perfect Title/Content... much appreciated as a "Non-Securities Lawyer" with oversight responsibility of our equity plan.

christine b.

the speaker was very clear, organized and had a great grounded presence and good voice (not monotone or extremely colorful) that made the audio listening experience for this seminar very effective

Paul C.

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

Elizabeth P.

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

Patrick D.

On point with matters I am now working on.

Eric S.

Mr. Ross is excellent. Well done.

Dena R.

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

Nathaniel F.

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

B.A. S.

Really clear professor; easy to follow. Thank you!

R. Christopher R.

Always a great seminar by a great presenter.

George K.

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

Charles J.

This presentation was full of detail and an excellent refresher course

Georgian P.

Great program! Very interesting!

Marc P.

Good content

William B.

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

John M.

well presented

Frank R.

Very good overview of Securities Laws

Jessica B.

Good overview

Kenneth S.


John G.

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

Load More