Slide Deck

50 Slides available anytime
  • 50 Slides

Blue Sky Law Basics for Paralegals


Ensure blue sky compliance and gain the necessary skills you need to completely and accurately file.

Many lawyers and clients believe that federal securities law is the principal (and sometimes only) securities law to be observed. State securities laws are often overlooked, especially by clients.
Paralegals can play a major role in helping both the lawyer and especially the client. This is especially true in compliance with state securities laws (i.e., Blue Sky Laws). In the 50 states and District of Columbia, a company offering and selling securities must not only take into account the Securities Act of 1933 for federal compliance but also the state securities laws in which securities are offered and sold. This seminar is intended to acquaint the paralegal with the importance of Blue Sky Law compliance, the ways in which Blue Sky Law compliance can be achieved, samples of the differences (sometimes only slight, but nevertheless significant) in how state Blue Sky Laws are applied. For exempt offerings, Blue Sky Laws may offer more than one exemption. Examples of conversations and feedback of state securities administrators are given to help demonstrate the various applications of state Blue Sky Laws.



Michael D. Waters

Michael D. Waters

Jones Walker LLP

  • Partner in the Birmingham, Alabama office of Jones Walker LLP
  • Practiced in the corporate and securities area, primarily for financial institutions, for more than 35 years, representing banks, bank holding companies, and other financial entities in acquisitions, capital raising transactions, SEC and shareholder issues, new bank formations, and board fiduciary duty issues
  • Advised buyers and sellers in approximately 120 bank mergers and acquisitions, ranging from small community banks to the acquisition of a $34 billion holding company
  • Recognized in Chambers USA, banking, and finance annually since 2013
  • Recognized by Alabama Super Lawyers annually since 2008 for work in the banking and securities and corporate finance area
  • Named by Best Lawyers in America annually since 1995 for work in the area of banking and finance law, corporate law, and financial services regulation law
  • J.D. degree, University of Alabama School of Law; M.A. degree, Rhodes Scholar, Oxford University; B.A. degree, Duke University

All of your training, right here at Lorman.

Pay once and get a full year of unlimited training in any format, any time!

  • Live Webinars
  • OnDemand Webinars
  • MP3 Downloads
  • Course Manuals
  • Audio Recordings*
  • Executive Reports
  • White Papers and Articles
  • Sponsored Live Webinars

Additional benefits include:

  • State Specific Credit Tracker
  • Members Only Newsletter
  • All-Access Pass Course Concierge

* For audio recordings you only pay shipping

Questions? Call 877-296-2169 to speak with a real person.

Sign Up Today

Access to all training products $699/year

Unlimited Lorman Training

With the All-Access Pass there is no guessing what you will need for your yearly training budget. $699 will cover all of your training needs for an entire year!

Easy Registrations

Once you purchase your All-Access Pass you will never be any further than one-click away from attending any Lorman training course.

Invest in Yourself

You haven't gotten to where you are professionally by luck alone; it's taken a lot of hard work and training. Invest in yourself with the All-Access Pass.