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PLI Understanding the Securities Laws Fall 2014

Presented by the Practising Law Institute
Speaking Engagement | October 23–24, 2014

Mark Wood, head of the Securities practice, will serve as co-chair for PLI’s Understanding the Securities Laws Fall 2014. The seminar will provide an overview and discussion of the basic aspects of the US federal securities laws by leading in-house and law firm practitioners and key SEC representatives. Mark will also co-present “Disclosure Challenges and Current Hot Topics” at 2:30 p.m. on Thursday, October 23. The session will address the following topics:

  • the duty to disclose;
  • materiality, including contingent events, SAB 99 Stock exchange trading and disclosure requirements;
  • rumors and leaks;
  • loss contingencies;
  • projections/safe harbor for forward-looking statements;
  • Internet disclosure regarding social media/company websites; and
  • current developments in securities law including the status of SEC rulemaking under the Dodd-Frank and JOBS Acts.

Michael Diver, head of the Chicago Securities Litigation and Enforcement practice, will present “Ethics and Professionalism in Securities Law” at 11:30 a.m. on Friday, October 24. Michael will address the following topics:

  • lawyers as targets and special issues facing securities lawyers;
  • SEC investigations;
  • the Foreign Corrupt Practices Act;
  • attorney reporting responsibility;
  • whistleblower update; and  
  • practical guidance for addressing difficult ethical issues.

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The University of Chicago Gleacher Center
450 North Cityfront Plaza Drive
Chicago

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