New York (NY) Securities CLE Course Catalog

Join experienced securities litigation practitioners Michael Lindh (Cornerstone Research) and Angela M. Liu (Dechert LLP), who will dissect and deliberate the paramount challenges and opportunities within securities law. By scrutinizing recent litigation cases, regulatory modifications, and ever-shifting market dynamics, attendees will be equipped with invaluable insights to not just keep pace but thrive within the ever-evolving landscape of securities litigation.

Listen as experienced securities lawyers Debra A. Jenks, Esq. (Debra A. Jenks, P.A.) and Meredith Jowers Lees (Rumberger, Kirk & Caldwell, P.A) as they provide a comprehensive discussion of the latest trends and developments in FINRA arbitration. Speakers, among other things, will also offer critical steps and strategies in this rapidly evolving legal climate.

In this program, securities lawyer Heather B. Middleton (Riker Danzig LLP) and commercial litigator Peter J. Tepley (Rumberger Kirk) will discuss the significant updates and key issues surrounding FINRA arbitration. The distinguished speakers will also share practical tips to prepare you for a FINRA arbitration case.

Listen as experienced economic consultants Simona Mola and Kyla Wethli from Cornerstone Research provide a comprehensive discussion of the latest regulations and enforcement trends concerning executive compensation.

As the SEC’s enforcement activities continue to ramp up and the regulatory landscape remains uncertain, businesses must stay updated and be well-versed on any grounds that would result in potential liability risks. Join experienced regulatory and compliance practitioners as they provide a comprehensive discussion on the recent SEC enforcement actions and considerations for fostering an ethical culture and reducing compliance risks. Speakers, among other things, will also offer best practices and effective compliance strategies amidst the ever-changing legal landscape.

As the digital landscape evolves, it is essential for organizations to stay ahead of the curve and effectively address cyber risks to protect sensitive information and maintain regulatory compliance. The SEC has taken a similar approach of trying to protect sensitive information with their broad suite of new cybersecurity rules, including policies and procedures to address cybersecurity risk, written incident response programs, and much more. Our panelists will share insights into the evolving expectations of the SEC, discuss compliance processes that should be implemented and identify best practices to improve incident response and reporting.

This presentation will cover the current status and near future outlook for the blockchain sector (or "crypto" broadly) from a legal standpoint. Questions answered include: What went wrong? Is crypto dead and buried? What's in store next for the industry and regulatory landscape? What's the cybersecurity state of play in crypto?

There are few things senior executives fear more than criminal prosecution, and that's with good reason because being prosecuted can ruin lives, reputations, finances -- both corporate and personal -- marriages, and families. This program provides practical advice for counsel on how their companies can seek to avoid triggering a criminal investigation and what to do if you're faced with one. With whistleblower complaints skyrocketing, how can companies conduct internal investigations that will be defensible to the SEC and other regulators? This program shares five key lessons for in-house lawyers as they are considering launching, managing and reporting the results of internal investigations.

This panel will examine creditors vs. creditors in liability-management transactions (Boardriders, Serta, Travelport, Trimark), collective actions and credit bidding (Speedcast, Alta Masa, Empire Generating, Allied), strict foreclosure in light of TIA 316(b) (CNH Diversified Opportunities v. Cleveland Unlimited), de facto claim-subordination (La Paloma), rights preserved for junior creditors under an intercreditor agreement (do the exceptions swallow the rule (Claires, Momentive)?), and practical considerations such as coordination agreements, unitranche facilities and CLOs in restructurings.