NYSBA Business Law Section Members: Free
SEC Hot Topics
Dan Hawke, a partner at Arnold & Porter, LLP and former Chief of the SEC Division of Enforcement’s Market Abuse Unit will speak about a recent series of SEC enforcement actions charging insider trading by lawyers. Topics covered will include the Division of Enforcement’s use of data analytics and the trader-based approach to insider trading investigations.
Peter LaVigne will speak on the SEC Concept Release on Harmonization of Securities Offering Exemptions. Peter is a partner in the Financial Industry and Fintech practices at Goodwin Procter, LLP. Peter advises clients involved in the distribution of securities as issuer or intermediary at every level, public and private, and his expertise includes broker-dealer regulation by the SEC and FINRA and SEC and state regulations affecting private offerings.
Co-Sponsored by the Business Law Section and the Committee on Continuing Legal Education
Live CLE Program & Dinner
6:30 P.M. Dinner | 7:00 - 9:00 P.M. CLE Program
2.0 MCLE Credits: 2.0 Areas of Professional Practice
NYSBA Business Law Section Member: Free | NYSBA Member: $25
*Optional Dinner preceding the program: $45
- Recent SEC Enforcement Actions: Division of Enforcement’s use of data analytics and the trader-based approach to insider trading investigations
- SEC Concept Release on Harmonization of Securities Offering Exemptions\
Daniel M Hawke, Esq., Arnold & Porter, LLP, Washington, D.C.
Peter LaVigne, Esq., Goodwin Procter, LLP, NYC
Newly Admitted Attorneys: To receive skills credit, newly admitted attorneys must take accredited transitional CLE courses in traditional live classroom settings that have been approved by the CLE Board for use by newly admitted attorneys. For more information about the CLE Rules, please go to www.nycourts.gov/Attorneys/CLE.
Out of State Accreditation: This program has also been approved for MCLE credit by the State Bar of California, the Pennsylvania Continuing Legal Education Board and the Board of Continuing Legal Education of the State of New Jersey. If you require MCLE credit in other states, we can provide you a Uniform MCLE Form.
Partial Credit for Program Segments Not Allowed: Under the New York State Continuing Legal Education Board Regulations and Guidelines, attendees at CLE programs cannot get MCLE credit for a program segment (typically, a lecture or panel, of which there are usually several in a program) unless they are present for the entire segment. Those who arrive late, depart early, or are absent for any portion of the segment WILL NOT receive credit for that program segment.
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If you have any questions about this program, please contact staff attorney Sally Bratten.