PLI Understanding the Securities Laws Fall 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.

For more information, click here.