Events

Practising Law Institute: Securities Filings 2017 – Practical Guidance in a Changing Environment

September 7-8, 2017 | New York, New York

Location:

  • PLI New York Center
    1177 Avenue of the Americas, (2nd floor)
    New York, New York 10036

    Map


Speakers:

Practising Law Institute: Securities Filings 2017 – Practical Guidance in a Changing Environment

This popular two-day program will analyze in detail the forms used for filings with the SEC under the Securities Act of 1933 (Securities Act), and the Securities Exchange Act of 1934 (Exchange Act), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical tips and/or interactive drafting exercises. Ethics credit and recent legislation and SEC rule changes affecting disclosure obligations will be woven within the topics covered. Attendees will also learn about the following:

  • Exchange Act registration and reporting, including Forms 10-K, 10-Q, 8-K and more
  • Securities Act registration statements, including discussion of eligibility, drafting, incorporation by reference, “experts,” consents, and “shelf” registration, as well as the confidential filing process for “emerging growth companies”
  • A broad overview of proxy statements, including when preliminary filings are required, the shareholder proposal process, and year-end timing and filing issues, the “say-on-pay” rules, exchange listing standards for compensation committee members, and compensation adviser disclosures
  • Mechanics and implications of risk disclosures in both Securities Act and Exchange Act filings
  • A review of procedures in the SEC's Division of Corporation Finance
  • Current issues in securities filings resulting from potential changes to Dodd-Frank
  • An overview of the disclosure cycle and the integrated disclosure system
  • A look at regulations S-K, S-X and M-A

WilmerHale Partner Lillian Brown will be a featured speaker at this event.