This advanced course provides in-depth, practice-focused training on U.S. securities and exchange law compliance, with a particular emphasis on corporate governance, public and private offerings, ongoing disclosure obligations, insider trading, enforcement risk, and the strategic role of in-house and outside counsel. Participants will gain legal and operational insight into how publicly traded companies, investment firms, and private issuers must navigate the complexities of SEC rules, reporting regimes, and market conduct laws.
Structured for attorneys, compliance officers, and financial professionals, the course includes hands-on legal workshops, mock filings, disclosure drafting exercises, internal investigation simulations, and regulatory defense strategy planning.
Course Objectives
By the end of this course, participants will be able to:
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Interpret and apply core U.S. securities statutes and SEC rules (Securities Act of 1933, Exchange Act of 1934, and related regulations).
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Structure and advise on public offerings, private placements, and exempt transactions.
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Prepare and assess SEC filings, including Forms 10-K, 10-Q, 8-K, and proxy statements.
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Identify and mitigate risks of insider trading, market manipulation, and selective disclosure.
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Conduct internal compliance reviews and respond to SEC inquiries or enforcement actions.
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Design and implement comprehensive corporate compliance and disclosure programs.
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Train corporate leadership on securities law obligations and reporting requirements.
