Professional Course

Paralegals Role in Securities Law

1 day
1 day
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Course description

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.

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Who should attend?

This webinar is designed for

  • Paralegals
  • legal assistants
  • associates
  • and other legal professionals.

Training content

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

  • Deadlines
  • Document Preparation
  • Filings
  • Annual Meetings/Proxy Statements
  • NYSE/NASDAQ Requirements
  • Miscellaneous-CUSIP Numbers, EDGAR Codes, Electronic State Filings, etc.

General Corporate

  • Entity Formation
  • UCC Searches
  • Coordination of Stock Transfers
  • State Certifications and Compliance
  • Proofreading

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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Lorman Education Services
Lorman Education Services
2510 Alpine Road
54702 Eau Claire Wisconsin

Lorman Education Services - Live and On-Demand Courses

Lorman Education Services is a leading provider of online professional development and corporate training for organizations and individual professionals. For more than 30 years, Lorman has delivered relevant, high-quality, professional-level courses that cover a broad range of business and technical...

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