North Dakota (ND) Securities CLE Course Catalog

As the SEC’s enforcement activities continue to ramp up and the regulatory landscape remains uncertain, businesses must stay updated and be well-versed on any grounds that would result in potential liability risks. Join experienced regulatory and compliance practitioners as they provide a comprehensive discussion on the recent SEC enforcement actions and considerations for fostering an ethical culture and reducing compliance risks. Speakers, among other things, will also offer best practices and effective compliance strategies amidst the ever-changing legal landscape.

Listen as experienced practitioners in ESOP-related transactions Mr. Eli Burriss (Katten Muchin Rosenman LLP) and Mr. Scott Adamson (ArentFox Schiff LLP) provide the audience with the recent trends and developments in employee stock ownership plan (ESOP) as well as its implications in litigation matters. Speakers, among other things, will offer practical tips and strategies to avoid non-compliance and potential lawsuits.

Changes in the Enforcement Division of the U.S. Securities and Exchange Commission (SEC) has become the point of discussion following the appointment of Gary Gensler as chairman. Heightened regulation and reversions are anticipated, particularly on the scope of fees and expenses, conflicts of interest disclosure, misuse of material non-public information, and other risk management policies. Listen as a panel of key thought leaders and practitioners provide a comprehensive discussion on the recent SEC enforcement actions and investigations. Speakers will also offer helpful tips to manage potential risks as well as best compliance practices.

The reduction of mergers and acquisitions (M&A)-related class actions and the state 1933 Act have driven a significant decline in securities class action filings over the last years. However, despite the decrease in the overall federal filings, special purpose acquisition companies (SPACs)-related cases have doubled, bringing newer litigation risks and additional ramifications in this category. Listen as experienced securities litigators Brendan J. Rudolph (Cornerstone Research) and Jonathan A. Choa (Potter Anderson & Corroon LLP) provide a comprehensive discussion of the recent enforcement trends and legislative developments surrounding securities class action litigation. Speakers will also offer practical tips and strategies in this rapidly evolving legal climate.

The Securities and Exchange Commission (SEC) has proposed an amendment on the recordkeeping requirements for broker-dealers. The new rule asks for the retainment of electronic records in an exclusively non-rewritable and non-erasable format which is also known as write once, read many (WORM). However, the proposal would only apply prospectively, creating burdens for financial organizations in keeping WORM records that have been in existence at the time of the rule adoption.
Listen as experienced financial compliance professionals Robert Moreiro (Practus, LLP) and Debra Jenks (Jenks & Harvey LLP) provide a comprehensive discussion of the recent trends and developments surrounding broker-dealer regulation. Speakers, among other things, will offer practical compliance strategies in this ever-changing regulatory landscape.

As the digital landscape evolves, it is essential for organizations to stay ahead of the curve and effectively address cyber risks to protect sensitive information and maintain regulatory compliance. The SEC has taken a similar approach of trying to protect sensitive information with their broad suite of new cybersecurity rules, including policies and procedures to address cybersecurity risk, written incident response programs, and much more. Our panelists will share insights into the evolving expectations of the SEC, discuss compliance processes that should be implemented and identify best practices to improve incident response and reporting.

This presentation will cover the current status and near future outlook for the blockchain sector (or "crypto" broadly) from a legal standpoint. Questions answered include: What went wrong? Is crypto dead and buried? What's in store next for the industry and regulatory landscape? What's the cybersecurity state of play in crypto?

There are few things senior executives fear more than criminal prosecution, and that's with good reason because being prosecuted can ruin lives, reputations, finances -- both corporate and personal -- marriages, and families. This program provides practical advice for counsel on how their companies can seek to avoid triggering a criminal investigation and what to do if you're faced with one. With whistleblower complaints skyrocketing, how can companies conduct internal investigations that will be defensible to the SEC and other regulators? This program shares five key lessons for in-house lawyers as they are considering launching, managing and reporting the results of internal investigations.

During this session, we will discuss the status of investigations, enforcement, and litigation and whether or not legal departments have been seeing an uptick. Additionally, some of the discussion will focus on permanent changes to the investigations, enforcement, and litigation processes as a result of the pandemic.