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.
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Why Lorman?
Over 37 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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Why Lorman?
Over 37 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
OnDemand Course
This course was last revised on April 29, 2021.
Call 1-866-352-9540 for further credit information.
This program does NOT qualify, nor meet the National Standard for NASBA accreditation.
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Why Lorman?
Over 37 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
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
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Why Lorman?
Over 37 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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