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

Securities Law Compliance


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To view this webinar for CLE/CPE credit, click here.

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…

Principal Audience: Attorneys and Advisors, Business Owners and Executives, Investors

Partner: West LegalEdcenter

Meet the Panel:

Bruce Dravis

Bruce Dravis is a lawyer at Downey Brand, LLP in ...

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Craig Mordock

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

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Howard Brownstein

Howard Brod Brownstein is a nationally-known turnaround professional, and is ...

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Lori Anne Czepiel

Lori Anne counsels companies, boards, executives, shareholders and funds on ...

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Rafael X. Zahralddin-Aravena

Rafael X. Zahralddin-Aravena is a Shareholder, Director, and Chair of ...

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