Brad Bondi Speaks at PLI’s Understanding the Securities Laws 2020
Friday, July 17, 2020
On Friday, July 17, partner Brad Bondi spoke on the “Individual Liability for Corporate Officers, Directors, and Other Insiders” panel during Practising Law Institute’s (PLI) Understanding the Securities Laws 2020. The panel covered the following topics:
- Section 16 reporting and liability – “short-swing” profit rules
- Implications of delinquent filings
- Sarbanes-Oxley and Dodd-Frank “clawback” provisions – where do things stand today?
- Insider trading policies
- Minimizing insider trading liability risk using 10b5-1 plans
- Litigation and SEC enforcement actions
This two-day webcast on the securities laws is a fundamental primer for securities attorneys. Speakers illuminated how securities lawyers can solve practical problems that arise in the context of public and private offerings, SEC reporting, mergers and acquisitions, and other common corporate transactions.