Financial Poise Webinars
Practical and entertaining education for business owners and executives, Accredited Investors, and their legal and financial advisors.

Securities Law: An Overview


The accompanying slides are available to view for free by clicking the “On Demand” button below.

Stocks and bond are easily recognizable as securities, but did you know that promissory notes are also securities? As are certain joint venture interests and many other types of investment contracts. How do you identify a security? What are some of the requirements related to offering and selling securities? How do they differ between private and public companies? What happens if you fail to comply with securities laws? How has the JOBS Act, the FAST Act and other recent legislation changed the way in which companies offer and sell their securities?

In this webinar our expert panel will provide you with a high-level overview of the federal securities laws as well as tangible examples and practical advice in answer to these and many more questions.

Principal Audience: Investors, Attorneys and Advisors

Partner: Financial Poise, ChamberWise, West LegalEdcenter

Meet the Panel:

Alissa Parisi

Alissa Parisi is a partner in K&L Gates’s Corporate/M&A practice ...

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Craig Mordock

Craig Mordock is a partner at Sheppard Mullin, where he ...

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Julia Vax

Julia Vax, is a Partner at Arnold & Porter in ...

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Vanessa Schoenthaler

Vanessa J. Schoenthaler is a partner in the New York ...

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