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Securities Law Compliance 2021

The Securities and Exchange Commission has been entrusted with a significant corporate compliance regulatory function, which has been expanded by seminal legislation in the recent past such as the Sarbanes-Oxley (“SOX”) and Dodd-Frank Acts. This webinar discusses board fiduciary duties and the tension between state corporate law standards and federal law. Board composition, independence, structure and processes (including best practices in regard to committees) are analyzed. Specifically, director independence is discussed as is audit committees and related requirements, regulations and exemptions. NASDAQ and the NYSE also have similar requirements for director independence and those are also discussed. The webinar also covers disclosure matters related to SOX compliance, including timing and content of an issuer’s periodic disclosures. Both the legal requirements and best practices related to disclosure procedures and internal controls under SOX are examined. Means of controlling the costs of SOX, especially for smaller public companies, are also discussed, including trends in the industry related to high regulatory compliance costs. Finally, the applicability and best practices for privately held companies and SOX are considered.

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Webinar Faculty


Rafael X. Zahralddin-Aravena
Rafael X. Zahralddin-Aravena

Rafael X. Zahralddin-Aravena is a skilled business lawyer and litigator with significant experience advising clients in corporate and commercial litigation, insolvency, distressed M&A, compliance, corporate law and entity formation, corporate… Read More


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Arden Phillips

Arden T. Phillips is Vice President, General Counsel and Chief Compliance Officer of Tahzoo, a global customer experience consultancy providing digital content solutions to Fortune 500 clients. He is a… Read More

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Nicole Edmonds

Nicole Edmonds is a dynamic and engaging executive leader most recently serving as Assistant Vice President and Corporate Secretary at Washington Gas Light Company where she headed up a team… Read More

Rakesh Gopalan
Rakesh Gopalan

Rakesh is a corporate and securities lawyer, with extensive experience in complex technology and outsourcing deals, public company securities issuances and reporting requirements, private and public-company mergers and acquisitions, and… Read More

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