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Introduction to Securities Regulation is a comprehensive review of basic principles of Securities Regulation with
commentary on key cases. Eric Heindel, an attorney in private
practice in New York, reviews basic elements of securities law in an informative
lecture filled with examples from his own cases and professional experiences.
These downloadable audio files are designed for practicing attorneys who want to review Securities Law topics such as insider trading, stocks, bonds,
investment banking, and mergers and acquisitions. A good resource for attorneys who are changing careers and want to improve their knowledge of
securities laws and regulations. Currently approved for 3.0 CLE credits in the area of Professional Practice for Attorneys admitted in New York.
Approximate running time: 3 hours
Price: $59.99
Approved for CLE credit in New York until December 31, 2018
This lecture on Securities Regulation covers the following topics:
- Introduction to Securities Regulations
- Securities Act of 1933
- Securities Act of 1934
- The Securities and Exchange Commission (S.E.C.)
- Underwriting
- Initial Public Offerings
- Dutch Auctions
- Sales
- Prospectus
- Filing and the Pre-Filing Period
- What Constitutes a Security
- Exemptions
- Safe Harbors
- Restricted Securities
- Rule 144
- Civil Liability
- Proxy Rules
- Tender Offers
- Mergers and Acquisitions
- Professional Responsibility
- Market Regulation
- Stock Exchanges
All this plus real-world tips on Securities Regulation issues and the current economic crisis!
Financial Aid is available for Attorneys who qualify. Please see our Financial Aid Policy
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