Tuesday, January 11, 2022

6:00 PM to 8:30 PM (Eastern Standard Time)

Cast Iron Chef Chop House & Oyster Bar and Virtual

660 State Street, New Haven, Connecticut, United States

Register

27 people have already registered for this event.

  • Michael Addison
  • Kenneth Lerman
  • Thomas Welsh
  • David Albin
  • Johnny Ross
  • Anthony DeChello
  • Thomas Wilkeson
  • Thomas Candrick
  • Joseph Selinger
  • Matthew Gaul
  • Irene Thennes
  • Hillel Goldman
  • Samuel Braunstein
  • Emily McCarthy
  • Eileen Lavigne Flug
  • Francis Browne
  • Anthony Musto
  • Jennifer Boyd
  • Katherine Peccerillo
  • Kathryn Diehm
  • Mark Klein
  • Carl Perelli-Minetti
  • Robert Fleischer
  • Thomas Walsh
  • Rene Peres
  • Robert Feiner
  • Kelly O'Donnell

Securities Law Issues Every Business Lawyer Should Know...
2022 Securities Law Mini-Seminar

Speakers

Mark W. Klein, Esq., Brody Wilkinson PC
Kenneth B. Lerman, Esq., Kenneth B. Lerman, PC

Program Agenda

  1. The Regulatory Challenges of Cryptocurrency  
  • Cryptocurrency is an industry with a market capitalization of over 2 trillion dollars.  The need for regulation exists due to a massive amount of fraud being committed against investors.  However, the unique nature of cryptocurrency makes it difficult to regulate effectively.
  • An overview will be provided of the SEC’s guidance on cryptocurrency offerings and its pending enforcement action against cryptocurrency company Ripple Labs, the recent Congressional committee hearing on cryptocurrency and the efforts of various states to regulate cryptocurrency and, in some instances, encourage its continuing adoption.

2. The Proposed Amendments to the SEC’s Insider Trading Plan Rule 10b5-1

  • Insider trading plans allows companies and their insiders to sell their shares without running afoul of insider trading rules if they comply with the requirements of SEC Rule 10b5-1.  
  • The proposed amendments would, inter alia, impose a cooling off period before trading could commence under a plan, prohibit overlapping trading plans and require insiders to provide written certifications that they do not have insider information when creating a plan.

3. The Proposed Amendments to the SEC’s Share Buyback Rules 

  • SEC Rule 10b-18 provides a safe harbor for companies and their purchasers to buy back shares of the companies’ common stock on the open market with violating the anti-fraud rule. Share buybacks are also allowed pursuant to an insider trading plan.
  • The proposed amendments would require companies to submit a new disclosure form prior to executing a share buyback and would also heighten existing disclosure requirements.  

Cost

$47

CLE Credits

1.0 CT CLE

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Contact

Member Service Center
Email: msc@ctbar.org
Phone: (844)469-2221