Illinois (IL) Securities CLE Course Catalog

In an increasingly regulated business landscape, it is crucial for organizations to be prepared when regulators come knocking at their doors. Step into the regulatory realm as this session will provide an exclusive glimpse into the evolving landscape of legal compliance and unique insights directly from the source. Our distinguished panel of regulators will explore the priorities, trends, and expectations shaping regulatory frameworks for 2024 and beyond.

With the rapid pace of change and ever-evolving regulatory landscape, the risk of litigation is even more prominent for businesses today. As litigation exposure continues to be a leading concern for in-house teams, it is more important than ever for legal professionals to understand current litigation trends so they can best adapt to and prepare for future changes. Panelists in this session will provide a comprehensive look at shifts in the litigation environment, and will provide actionable strategies for tackling these complex cases.

A panel of experts discusses issues such as electronic communications use, cooperation, and managing an investigation. Firms are advised to prepare for upcoming regulatory changes, prioritize implementing quick changes, and focus on staying ahead of industry changes and technology.

Counsel plays a huge role in helping clients avoid SEC lawsuits by addressing business issues, implementing procedures, and being proactive in compliance efforts. In-house counsel and client presence in SEC presentations, remedial efforts, and cooperation can aid in an SEC investigation.

AI is greatly impacting securities enforcement, regulation, compliance, and practice, requiring companies and regulators to address associated risks and challenges. This panel discusses the increasing risks and regulations around AI in finance. Experts discuss best practices.

In this course, securities law experts and SEC officials discuss the SEC's new rules to enhance cybersecurity disclosure, enforcement, and governance, requiring companies to report cyber incidents within four days and provide annual reports on governance and risk management.

Navigating SEC-related criminal investigations requires very careful consideration. With the increasing frequency of parallel DOJ investigations, panelists discuss how clients should respond to such investigations. Experts discuss latest trends in joint investigations.

A panel of securities law experts, including SEC officials, discusses the latest trends and in insider trading enforcement actions. Discussion of new technological advances, 10b5-1 trading plans, and recent cases. Panelists offer proactive measures and client takeaways.

Expert crypto lawyers and senior SEC officials discuss how the regulation and enforcement of cryptocurrency are currently under scrutiny, with a focus on SEC investigations and enforcement actions. The SEC's Crypto Assets and Cyber Unit has seen significant growth, focusing on cases involving fraud, registration issues, and market manipulation within the crypto space.