Event Calendar
Live Teleseminar: Fundamentals of Securities Regulation, Part 2
Date: October 14, 2009
Time: 1:00p.m. - 2:00p.m.
For more information and to register please click here About the Seminar
Securities law has widespread application to business transactions and investment opportunities. These laws do not apply only to major offerings of stock or other securities on public markets. They apply also to offerings of membership interests in LLCs, to investments in small and mid-tier non-public corporations, and other transactions. If a business is required to register under securities law, it can be a time-consuming and costly undertaking : one fraught with liability for the business and its advisers. This program is designed to provide the non-securities law expert with a practical guide to when securities law applies to common business transactions, the requirements for and process of registration with the SEC, crucial exemptions from registration requirements, and how to manage the process with reduced costs and risk of liability.
Day 2 : October 14, 2009:
· Registration requirements, process and working with SEC staff
· Restrictions on and liability for certain pre-offering marketing activities
· Disclosure requirements
· Overview of antifraud provisions
· Real world tips on what to look for and how to avoid liability
About the Speakers
Richard R. Plumridge, a partner in the Denver and Boulder offices of Holme, Roberts & Owen, LLP. Mr. Plumridge has a national practice counseling clients in the areas of corporate and securities matters, including corporate governance, mergers and acquisitions, and public and private offerings public and private offerings of debt and equity. He formerly practiced with Brobeck, Phelger & Harrison, in California , New York and Colorado . He was the founder and Managing Partner of Brobeck's New York office from 1990-1999 and Managing Partner of Brobeck's Colorado office. He served as program chair of the Practicing Law Institute’s annual conference on private placemements for nearly two decades. Mr. Plumridge received his B.A. from Princeton University and his J.D., magna cum laude, from Harvard Law School . Gary M. Brown is a shareholder the Nashville and Washington , D.C. offices of Baker, Donelson, Bearman, Caldwell & Berkowitz, P.C. His practice encompasses corporate law, securities and mergers and acquisitions. Mr. Brown has counseled boards of directors of companies listed on the New York Stock Exchange, American Stock Exchange, Toronto Stock Exchange and NASDAQ. He has particular interest in and experience with manufacturing, retailing, franchising and the restaurant industry. He has extensive experience in SEC and stock exchange regulatory compliance and corporate governance, as well as accounting, corporate investigation, public disclosure and investor relations issues. Mr. Brown is an Adjunct Professor of Law at Vanderbilt University School of Law. During 2002, Mr. Brown served as Special Counsel (Minority) to the United States Senate's Committee on Governmental Affairs (and also worked with the Committee's Permanent Subcommittee on Investigations) in the investigation into the causes of the collapse of Enron Corp. While serving in the Senate, he also provided advice on aspects of the Sarbanes-Oxley Act of 2002 while the Senate debated the legislation. In addition to his testimony before Congress, Mr. Brown has appeared on National Public Radio, CNBC and is frequently quoted in national and regional publications on corporate, securities and corporate governance matters. Mr. Brown received his B.A. from Vanderbilt University and his J.D. from Vanderbilt University School of Law.
Mandatory MCLE Credit Hours
This seminar qualifies for 1.0 MCLE credit hour.
Event Type: Teleseminar
