Securities Law Compliance

Webinar Overview

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 regarding 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 the 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.

Other Webinars in this Series

• Data Privacy Compliance (Premiered on July 2, 2025)
• Procurement & Government Contracting Compliance (Premiered on May 28, 2025)
• Overview of General Corporate Law Compliance (Premiered on March 26, 2025)
• Overview of General Corporate Law Compliance (Premiered on November 21, 2024)
• Internal Investigations – 101 (Premiered on June 6, 2024)