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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