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.

Other Webinars in this Series

• Internal Investigations – 101 (Premiered on August 6, 2025)
• 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)