Securities Litigation & Regulatory Enforcement Conference: Insights for the Financial Services Attorney

This course is only available in CD, DVD, or USB Stick format.
CD/DVD/USB formats
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Most of our courses are also available for online streaming.

About This Course

Join NYCLA’s Securities & Exchanges Committee, New Jersey State Bar Association’s Securities Litigation and Regulatory Enforcement Committee and NYCLA’s Futures & Derivatives Committee for a riveting discussion that will focus on the following topics:

  • New Regulatory Landscape Reform, Proceedings, Investigations
  • Developments in White Collar Matters & Insider Trading Cases in the wake of Newman
  • Commodities, Futures and Derivatives – The Increasing Regulatory Reach
  • Raising Capital & New Financial Services Companies, Unregulated Broker
  • Dealers and Unregistered Offerings: Legal Issues Surrounding Crowd Funding and Reg A+, Bitcoin, Apple Pay and Micro Cap Securities
  • General Counsels Litigation & Arbitration Hot Topics
  • Issues, Advice and Ethical matters when advising Financial Services Compliance Personnel

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