The DC Bar Association this month will present a four-part series of seminars on the Introduction to Securities Law.
The sessions, slated for four Tuesdays, will run from 6 to 9:15 p.m. at the DC Bar Conference Center, 1250 H Street, NW, Washington, DC.
Part 1: Introduction to the Securities Act of 1933 and the SEC Regulation Process is set for March 7. This session includes an introduction and overview of the securities laws, including an historical perspective and the basic regulatory scheme.
Part 2: Introduction to Investment Advisers and Investment Companies and Introduction to Derivatives is slated for March 14. This program will begin with a discussion of the Investment Advisers Act and the Investment Company Act, including who is covered, compliance, SEC oversight, overview of disclosure, and regulatory developments. The second half of the class will cover the fundamentals of derivatives. Speakers are Susan C. Ervin and Jane A. Kanter, Dechert LLP, and Jennifer McHugh, Division of Investment Management, SEC.
Part 3: How the Securities Exchange Act of 1934 Works and Regulation of Broker-Dealers is being offered on March 21. This session will include an overview of the Securities Exchange Act of 1934, including consideration of who is covered and disclosure requirements in annual and quarterly reports, proxy solicitations, and shareholder proposals. The second half of the program will discuss regulation of broker-dealers; the SEC, NASD and other self-regulatory organizations; registration and discipline; sales practices; market manipulation; supervisory liability; Chinese walls, and current issues. The program chair is James E. Ballowe, E*Trade Brokerage Services, Inc.
Part 4: SEC Enforcement and Private Rights of Action will take place on March 28. The first half of this class will deal with SEC enforcement, including investigations, administrative proceedings and SEC actions, remedies available to the SEC, and liabilities of attorneys and other professionals who practice before the SEC. The second half will feature a discussion of private rights of action, including civil claims, defenses and procedural issues. Speakers are Mr. Ballowe; Frederic D. Firestone, SEC; Charles R. Mills, Kirkpatrick & Lockhart Nicholson Graham LLP, and James Sottile, Zuckerman Spaeder LLP.
For details on registration fees and CLE credits, see the Bulletin Board on The Metropolitan Corporate Counsel website at www.metrocorpcounsel.com.
To register for any of the sessions, call (202) 626-3488 or visit www.dcbar.org.