New Rules for Securities Filings: Is Your Legal Department Ready?

By Neetal Parekh on November 04, 2009 | Last updated on March 21, 2019

10-K, 10-Q, 8-K, S-1.  Nope, not some new fad of alpha-numeric soup. They are SEC forms typically involved in securities filings.  And if you are iffy on these forms or on recent developments in disclosure obligations and new SEC rules, then it may be just the time to seek a little CLE support in these areas.

And if you or other members of your legal department find yourself ready to sign up for a tutorial on SEC filings, you are in luck. The Practicing Law Institute (PLI) has been hosting live seminars on the subject.  The Chicago seminar took place last week at the University of Chicago and the next live session will take place in San Francisco on November 12-13, 2009.

The topics covered in PLI's "Securities Filings 2009" include:

The topics covered in PLI's "Securities Filings 2009" include:

  • pending and recently adopted SEC proposals, including proposed adoptions of IFRS
  • overview of Regulations S-K and requirements for smaller reporting companies
  • Compensation discussion & analysis, including review of SEC concerns
  • SEC rules affecting public offering process
  • Issuance of securities in mergers and acquisitions
  • Ethics in practice before the SEC

The talk seminars were designed for those new to the realm of SEC filings, those with moderate experience, and others who want to get caught up with new law and regulations regarding filings.  They may be a particularly good fit for in-house counsel, who likely know the broader topics involved with SEC filings but can fill in knowledge on various details.

What if you can't attend the live seminar?

The PLI will also have a CD and DVD available of the talks available in late November.


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