Paralegals Role in Securities Law
Comply with security law requirements and avoid serious legal liability issues.
This topic will review and discuss how paralegals can assist the lawyer in providing effective legal services. The focus is on the securities laws (both state and federal), which are a complicated set of laws, rules, and regulations which typically require lengthy and complicated public documents. The failure to comply with their requirements can lead to serious legal liability issues. This information will assist paralegals who seek to assist counsel in providing effective service for the benefit of clients.
Who should attend?
This webinar is designed for
- legal assistants
- and other legal professionals.
An Overview of the Securities Laws
- The Securities Act of 1933
- The Securities Exchange Act of 1934
- Don't Forget State (i.e., Blue Sky) Laws
- Enforcement Issues
Paralegals Role in Security Law
- Document Preparation
- Annual Meetings/Proxy Statements
- NYSE/NASDAQ Requirements
- Miscellaneous-CUSIP Numbers, EDGAR Codes, Electronic State Filings, etc.
- Entity Formation
- UCC Searches
- Coordination of Stock Transfers
- State Certifications and Compliance
The Paralegal and Law Practice
- Assisting the Lawyer With Securities Law Compliance
- Helping Clients Understand the Framework of the Securities Laws and How to Comply With Them
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