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Paralegals Role in Securities Law

Comply with security law requirements and avoid serious legal liability issues.

This topic will review and discuss how paralegals can assist the lawyer in providing effective legal services. The focus is on the securities laws (both state and federal), which are a complicated set of laws, rules, and regulations which typically require lengthy and complicated public documents. The failure to comply with their requirements can lead to serious legal liability issues. This information will assist paralegals who seek to assist counsel in providing effective service for the benefit of clients.

92 minutes
Course Exam
Certificate of Completion
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Why Lorman?

Over 34 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

An Overview of the Securities Laws

  • The Securities Act of 1933
  • The Securities Exchange Act of 1934
  • Don't Forget State (i.e., Blue Sky) Laws
  • Enforcement Issues

Paralegals Role in Security Law

  • Deadlines
  • Document Preparation
  • Filings
  • Annual Meetings/Proxy Statements
  • NYSE/NASDAQ Requirements
  • Miscellaneous-CUSIP Numbers, EDGAR Codes, Electronic State Filings, etc.

General Corporate

  • Entity Formation
  • UCC Searches
  • Coordination of Stock Transfers
  • State Certifications and Compliance
  • Proofreading

The Paralegal and Law Practice

  • Assisting the Lawyer With Securities Law Compliance
  • Helping Clients Understand the Framework of the Securities Laws and How to Comply With Them
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More Program Information

Why Lorman?

Over 34 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

MP3 Download

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

OnDemand Course

This course was last revised on April 29, 2021.

Call 1-866-352-9540 for further credit information.

  • NALA 1.52
     
  • This program is applicable for continuing legal assistant education credit. Please check with your accrediting board to see if this course will qualify towards your recertification requirements. Program Length: 1.52 hour(s).
     
  • NFPA 1.5
     
  • This program has been approved by the National Federation of Paralegal Associations for 1.5 hours of NFPA continuing education credit.
     

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

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More Program Information

Why Lorman?

Over 34 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

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 110 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 & 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
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Why Lorman?

Over 34 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

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Product ID: 407054
Published 2021
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