Attorney Professionalism in the Capital Markets and Financial Service Industry

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June 23
This course aired live on Wednesday, June 23, 2021
for access to this course.

About This Course

This CLE course will address the role of attorneys in capital markets. The course will cover public and private offerings as well as issues related to expressing legal opinions, advising corporate boards and representing officers, directors and shareholders in regulatory investigations and government proceedings, civil proceedings and processes facilitating remedial measures.

The course will also present SEC Rule 102(e) and how to manage coordination with other professionals such as CPA’s.

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