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Understanding the Securities Laws 2016

Presented by the Practising Law Institute
Speaking Engagement | September 28–29, 2016

Mark Wood, head of the Securities practice, will serve as co-chair for PLI's Understanding the Securities Laws 2016 in New York on July 21–22 and in Chicago on September 28–29. The seminar will show how securities attorneys can solve practical problems that arise in the context of public and private offerings, SEC reporting, mergers and acquisitions and other common corporate transactions.

At the Chicago seminar, Mark will co-present the "Securities Act Exemptions" session on Wednesday, September 28 at 1:30 p.m. Topics will include:

  • exempt securities versus exempt transactions;
  • private placements;
  • Regulation D offerings;
  • Regulation A+ offerings;
  • intrastate offerings;
  • crowdfunding;
  • employee equity awards;
  • Rule 144A high yield and other offerings;
  • Regulation S offerings to "non-U.S. persons;" and
  • resale of restricted and controlled securities, including Rule 144, Section 4(a)(7) and 4(a)(1½).

He will also co-present the "Disclosure Challenges, Deal Alternatives and Current Hot Topics" session on Thursday, September 29 at 1:30 p.m., which will cover:

  • analyzing materiality and SAB 99;
  • disclosing loss contingencies, and handling rumors and stock exchange trading and disclosure requirements;
  • drafting social media/company website policies and cybersecurity disclosure;
  • keeping abreast of "hot topics" and other issues arising from recent legislative, judicial or SEC actions; and
  • anticipating the impact of other regulatory requirements.

Michael Diver, head of the Chicago Securities Litigation and Enforcement practice, will co-present "Navigating Ethics and Professionalism Requirements" on Thursday, September 29 at 3:00 p.m. Michael will address:

  • the professional responsibility implications of lawyers as gatekeepers and investigational targets;
  • ethics and professional responsibility rules compliance in SEC practice;
  • the ethical implications of whistleblower rules and their application;
  • professional responsibility obligations for FCPA compliance and other internal investigations; and
  • ethical considerations in drafting SEC disclosure.

For more information, click here.

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