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Attorney Professionalism in the Capital Markets and Financial Service Industry

SKU: EPR028
Total Credits
1 - 1.2
Price$50
  • Instant Online Access
  • All Your Devices
  • DVD & CDs
  • iOS & Android App
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Description

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.

Lecturer Bio

Norman B. Arnoff, Esq.

Commercial law practice in New York City and in governmental legal positions in areas of insurance coverage/defense and professional liability of lawyers, accountants, securities broker-dealers and investment advisers and their representatives. Substantial litigation and appellate experience, including supervision and handling of hundreds of NASD/FINRA and other arbitrations. Regular columnist on professional liability issues for New York Law Journal, and author of articles for Securities Litigation and Securities Arbitration Commentators, and other publications as well as extensive speaking and published writing on professional liability and securities law topics.

EDUCATION:

  • New York University School of Law, J.D., New York, NY, February 1969.
  • New York University, BA, Bronx, NY, June 1965.

Honors: Phi Beta Kappa; Founders Day Award for Scholarship.



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