transcript   Transcript

Laying the Groundwork – The Basics of the SEC and Securities Laws

Recorded on: Oct. 17, 2018
Running Time: 01:06:18

Full Transcript:

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Taken from the Web Program Securities Law and Practice 2018: How the SEC Works Recorded October 2018 in New York

Laying the Groundwork – The Basics of the SEC and Securities Laws [01:06:18]

• Origins of the SEC and the Federal Securities Laws
• Interaction between the Federal and State Securities Laws
• The Interaction of the SEC with Other Regulators
• How the SEC Speaks

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • Approaching Securities Law
    Gary M. Brown
  • The Laws That Govern the Securities Industry
    Clifford E. Kirsch
  • Researching the Federal Securities Laws Through the SEC Website
    Clifford E. Kirsch
  • Harry S. Pangas, Overview of the Registration Provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 (August 2017)
    Clifford E. Kirsch
  • Bruce M. Bettigole, Harry S. Pangas and Payam Siadatpour, Legal Alert: Supreme Court Decision Imposes Strict Filing Deadline on Civil Actions Related to Securities Offerings (August 25, 2017)
    Clifford E. Kirsch
  • Harry S. Pangas and J. Clay Douglas, Foreign Private Issuers (“FPIs”): Reporting Requirements and Other Select Items (August 2017) (PowerPoint slides)
    Clifford E. Kirsch
  • Regulatory Framework of Securities Act Registration
    Gary M. Brown
  • Registration and Periodic Reporting Under the Exchange Act
    Gary M. Brown
Presentation Material
  • Laying the Groundwork - The Basics of the SEC and Securities Laws
    Adam E. Fleisher, Clifford E. Kirsch, Ghillaine A. Reid
  • (s)
    Adam E. Fleisher ~ Cleary Gottlieb Steen & Hamilton LLP
    Clifford E. Kirsch ~ Eversheds Sutherland (US) LLP
    Ghillaine A. Reid ~ McGuireWoods LLP
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