SEC recently finalized the amendment on the rules for Smaller Companies' reporting methods paving the way to a more simplified approach in complying with the new requirements. It also allows covered companies to choose between different disclosure categories. Moreover, a new definition of Smaller Reporting Company was issued, hence, expanded coverage is expected. This event will aim to further explain this amendment along with the issues surrounding its implementation. Small, as well as large scale companies are strongly encouraged to participate.
The Knowledge Congress is assembling a panel of distinguished professionals and key regulators to help the public understand this new and improved regulation. The speakers will share their expert opinions in a two-hour LIVE Webcast.
Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Conference
Recommended CLE/CPE Hours: 1.75 - 2.0
(Please note, your State Bar or Accounting Board will make the final determination with respect
to continuing education credit.)
Advance Preparation: Print and review course materials
Course Code: 083797
Josephine Wang
General Counsel
William C. MacLeod
Partner, Co-Chair of the Antitrust Practice Group
Rex A. Staples
General Counsel
Josephine Wang, General Counsel, Securities Investor Protection Corporation (SIPC)
- Broker-Dealer Liquidations Under the Securities Investor Protection Act
- Notice to SIPC and Grounds for Liquidation
- The Early Stages
- How Claims Are Satisfied
- Limits to Customer Protection: Who Is or Is Not A “Customer”?
- Limits to Customer Protection: Customers Who Are Ineligible for Advances From SIPC
- Limits to Customer Protection: Special Concerns
Rex A. Staples, General Counsel, North American Securities Administrators Association, Inc.
Expect increased scrutiny of:
- BD / IA firms and registered individuals
- Advisers to hedge funds
- Others
Expect enforcement actions to increase in both volume and velocity
- What will be the areas of focus?
Expect these actions to come from a variety of players in the regulatory sphere
- Who and how?
Outlook for private offerings, generally
Outlook for firm / institutional and retail Outlook on statutory and rule changes
William C. MacLeod, Partner, Co-Chair of the Antitrust Practice Group, Kelley Drye & Warren LLP
- Companies should expect more FTC enforcement than ever before in 2009
- Investigators will start with your advertisements, scrutinize your contracts, and test your privacy policies.
- They will examine lending from discrimination to debt collection.
- Consumer Law Attorneys/Consultants
- Investor Protection Lawyers/Consultants
- Corporate Senior Officers
- General Counsels
- Individual investors
- Investment Consultants
This is a must attend event to anyone interested in learning the latest updates about the Consumer/Investor Protections Laws.
- New guidance explained by the most qualified key leaders & experts
- Hear directly from key regulators & thought leaders
- Interact directly with panel during Q&A