Vermont (VT) Securities CLE Course Catalog

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 the regulatory world of digital assets/cryptocurrency is essential for businesses. Expert panelists discuss the SEC's application of existing securities law to crypto, recent cases like Ripple and XRP lawsuit, and the increasing scrutiny on digital asset offerings.

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.

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.