Illinois (IL) Securities CLE Course Catalog

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.

Panelists discuss the need for regulatory agencies to come together to create clear rules for the industry, recent cases including the Ripple case, and key trends in the court system relating to crypto currency.

Ransomware attacks drive heightened SEC and NYDFS scrutiny, necessitating swift data breach reporting and legal adherence. Sector-specific trends are highlighted by experts, emphasizing the urgency of compliance and transparent communication for stakeholders navigating evolving threats.