When

Thursday, April 6, 2023 from 4:00 PM to 5:00 PM MDT
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Where

Haynes and Boone, LLP 
675 15TH Street, 11th Floor
Denver, CO 80202
 

 
Driving Directions 

Contact

Bo Donegan 
Colorado Defense Lawyers Association 
303-263-6466 
 

Fundamentals of Federal Securities Law and SEC Regulation for Commercial Litigators

Presented by:

Kurt GottschallHaynes and Boone, LLP 

Location: 

Haynes Boone, 675 15th St., 11th Floor, Denver, CO 80202

April 6, 2023 • 4–5:00 pm

approved for 1 hr CLE

This program will provide an overview of the federal securities laws and SEC regulation for business and commercial litigators. The course is designed to help non-SEC practitioners understand SEC processes and identify potential securities regulation pitfalls, including the broad definition of securities, when securities offerings need to be registered with the SEC, and common areas of SEC enforcement. It will also provide highlights of the SEC’s robust rulemaking agenda under Chair Gary Gensler and discuss likely SEC enforcement priorities in 2023.

Course Outline:

  1. Overview of the Federal Securities Laws
  2. Overview of U.S. Securities and Exchange Commission (SEC) examinations, investigations and enforcement litigation
  3. Hot Topics in SEC Rulemaking and Enforcement
    1. Securities Registration and Offerings
    2. Accounting and Corporate Disclosure
    3. Environmental, Social and Governance (ESG)
    4. Insider Trading
    5. Cryptocurrencies and Digital Assets