DO NOT USE - Pre-Conference Securities Fundamentals Out of Stock
Co-sponsored by the U.S. Securities and Exchange Commission, the Business Law Section of the Colorad
Quantity
RESCHEDULED FROM MAY 12, 2020
October 2020
NEW! - Pre-Conference Securities Fundamentals
Co-sponsored by the U.S. Securities and Exchange Commission, the Business Law Section of the Colorado Bar Association and the Colorado Society of Certified Public Accountants
Program Description:
Are you new to the practice of securities law, or do you simply want to polish your securities skills and knowledge? Attend this fast-paced, quick-hitting overview, and fasten your seat belts, as your securities law experts unwind the practical, foundational essentials. Receive the BEST VALUE for your registration dollars by attending both Securities Law Fundamentals and the Securities Conference.
Location:
The Fundamentals program is being held in the CBA-CLE Classroom, 1290 Broadway, Suite 1700, Denver, CO
BACK BY POPULAR DEMAND! We Mean Business Reception Celebrating Women and Diversity in the Financial Industry, October 22, 2020, 4:30pm, CBA-CLE Classroom, 1290 Broadway, Suite 1700, Denver, CO - Immediately following the Fundamentals program
Upcoming Programs:
March 11 and 25, April 15 and 22, and May 7 and 20 Business Document Drafting Series 2020 - Webcast, CBA-CLE Zoom Meeting Classroom
September 10-11, 2020 Business Law Institute, The Ritz-Carlton, 1881 Curtis St., Denver, CO
Federal Practice Update, June 26, 2020, CBA-CLE Classroom, 1290 Broadway, Suite 1700, Denver, CO
Agenda:
Securities Law Fundamentals – October 22, 2020
CBA-CLE Classroom, 1290 Broadway, Suite 1700, Denver, CO
3:00 – 4:30 PM
Fundamentals
- Overview of the SEC
- Statutory Framework for the Federal Securities Laws
- What Constitutes a Security
- Securities Offerings
- Markets and Intermediaries
- Securities Law Violations
- Civil and Criminal Law Enforcement
Rebecca L. Franciscus, Senior Counsel, Enforcement Division, SEC Denver, and Program Chair, Securities Law Fundamentals
Heather Clark, Exam Manager, Office of Compliance Inspections and Examinations, SEC Denver
Suneeta Hazra, Partner, Arnold & Porter, LLP
Coates Lear, Partner, Squire Patton Boggs
Danielle Voorhees, Assistant Regional Director, Enforcement Division, SEC Denver
Specialized Knowledge CPE Field of Study Credit 1.5
4:30 PM
We Mean Business Reception Celebrating Women and Diversity in the Financial Industry
CBA-CLE, 1290 Broadway, Suite 1700, Denver, CO
- CLE Pass Price *FREE! - exclusions may apply
- Standard Price $69.00 USD
- Member Price $49.00 USD
- General Credits 2.00
- Ethics Credits 0.00
- EDI Credits