September 30, 2022

Volume XII, Number 273

State Securities Enforcement — Focus, Impact, and Priorities

State securities transactions have become increasingly complex, and the enforcement of the laws surrounding them are equally as challenging to navigate. Please join Foley attorneys Joseph D. EdmondsonTerry D. Nelson, and Joe Jacquot, along with guest speaker Philip A. Feigin, partner at Lewis Roca Rothgerber LLP, for a web conference that covers state securities enforcement topics such as:

  • A brief history of state securities enforcement

  • Sources of enforcement authority and possible sanctions

  • Differences between states

  • Description of investigation/enforcement process from beginning to end

  • Resist or settle

  • Multi-state investigations and joint investigations with other state and federal authorities

  • Recent trends in enforcement actions

  • State attorney general participation and process

 
There is no cost to participate in this program, but advance registration is required. To participate, please use either the Register Today button above or below, or simply register here.

Instructions for accessing the program will be included in the registration confirmation.

For more information, please contact Brook Radford at bradford@foley.com.

Foley & Lardner LLP will apply for CLE credit after the program, wherever applicable. Foley & Lardner LLP certifies that this activity has been approved for California MCLE credits by the State Bar of California in the amount of 1.0 General credit hour. Foley & Lardner LLP is a State Bar of California MCLE approved provider. Please note that participants must log in to the web portion on the date of the event and answer the CLE polling question; credit may not be obtained by viewing and/or listening to a program recording after the event.

Special Instructions for Kansas/New York/New Jersey CLE Credit
Those seeking Kansas, New York, and/or New Jersey CLE Credit are required to complete the Attorney Affirmation Form. Be sure to enter the five-digit code that will be provided during the presentation. Please email the form to Brook Radford at bradford@foley.com immediately following the program.

Important Information for New York Attorneys
This program is appropriate for experienced attorneys only. Attorneys admitted two years or less are not eligible to earn CLE credit through the completion of courses in nontraditional formats.

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