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7 episodes with securities regulation
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3 episodes with securities regulation
7 episodes with securities regulation
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2 episodes with securities regulation
2 episodes with securities regulation
2 episodes with securities regulation
In the fifth episode of Season 2, A. Valerie Mirko, Partner at Armstrong Teasdale LLP and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association continue to discuss SEC Chair Paul Atkins' key priorities now that he has begun his term. Valerie and William discuss key SEC developments focusing on the recent Crypto Task Force Roundtables, public company disclosure priorities and current targeted reorganization developments occurring at the SEC. Valerie and William also discuss recent FINRA developments, including FINRA's modernization rule proposals and outside business activity rule proposal, as well as FINRA's May 8, 2025 Statement entitled SEC Off-Channel Communications Settlements – SRO Collateral Consequences. Whether you're a compliance professional, attorney, or SEC registrant (broker-dealer, investment adviser or dual), this conversation provides valuable insights into the shifting regulatory landscape. Past episodes of this series: Episode 1 (5/22/24) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Investor-Protection-in-2024-e2je2a6]Episode 2 (6/5/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-All-Things-Standards-of-Care-in-2024-e2k8u2m/a-abahg6m]Episode 3 (7/24/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Developments-in-Insider-Trading-e2lk443/a-abdiehh]Episode 4 (8/21/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-The-SEC-Private-Funds-Rule--the-Fifth-Circuit-Decision-and-SEC-Rulemaking-Authority-e2mucdm]Episode 5 (9/11/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Fireside-Chat-with-SEC-Investor-Advocate-Cristina-Martin-Firvida-e2o23db/a-abguokt]Episode 6 (10/23/2024) [https://creators.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Off-Channel-Communications--A-State-of-the-Union-e2pqi6c/a-abj83g8]Episode 7 (12/4/2024) [https://creators.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Impact-of-2025-Presidential-Transition-on-the-SEC-e2r7ivg]
In this fourth episode of Season 2, A. Valerie Mirko, Partner at Armstrong Teasdale LLP and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, discuss the Senate confirmation of Paul Atkins and what priorities Atkins will be focusing on. Valerie and William also discuss key SEC developments in recent weeks, alignment in policy priorities between Paul Atkins, Hester Peirce and Mark Uyeda, as well as recent Executive Orders regarding regulations. Whether you're a compliance professional, attorney, or SEC registrant (broker-dealer, investment adviser or dual), this conversation provides valuable insights into the shifting regulatory landscape.Past episodes of this series: Episode 1 (5/22/24) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Investor-Protection-in-2024-e2je2a6]Episode 2 (6/5/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-All-Things-Standards-of-Care-in-2024-e2k8u2m/a-abahg6m]Episode 3 (7/24/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Developments-in-Insider-Trading-e2lk443/a-abdiehh]Episode 4 (8/21/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-The-SEC-Private-Funds-Rule--the-Fifth-Circuit-Decision-and-SEC-Rulemaking-Authority-e2mucdm]Episode 5 (9/11/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Fireside-Chat-with-SEC-Investor-Advocate-Cristina-Martin-Firvida-e2o23db/a-abguokt]Episode 6 (10/23/2024) [https://creators.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Off-Channel-Communications--A-State-of-the-Union-e2pqi6c/a-abj83g8]Episode 7 (12/4/2024) [https://creators.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Impact-of-2025-Presidential-Transition-on-the-SEC-e2r7ivg]
Episode 3 of Season 2 picks up where the kickoff episode https://creators.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Insights-on-SEC-Transition-and-Policy-Priorities-with-Pete-Driscoll-e2tps9i/a-abo6453 with Pete Driscoll left off. A few weeks after the Presidential Transition A. Valerie Mirko, Partner at Armstrong Teasdale LLP and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, chat about recent events. Valerie and William discuss key Executive Orders, Congressional actions, SEC developments, and the agency's new rule revoking delegated authority. Whether you're a compliance professional, attorney, or SEC registrant (broker-dealer, investment adviser or dual), this conversation provides valuable insights into the shifting regulatory landscape.Past episodes of this series: Episode 1 (5/22/24) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Investor-Protection-in-2024-e2je2a6]Episode 2 (6/5/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-All-Things-Standards-of-Care-in-2024-e2k8u2m/a-abahg6m]Episode 3 (7/24/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Developments-in-Insider-Trading-e2lk443/a-abdiehh]Episode 4 (8/21/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-The-SEC-Private-Funds-Rule--the-Fifth-Circuit-Decision-and-SEC-Rulemaking-Authority-e2mucdm]Episode 5 (9/11/2024) [https://podcasters.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Fireside-Chat-with-SEC-Investor-Advocate-Cristina-Martin-Firvida-e2o23db/a-abguokt]Episode 6 (10/23/2024) [https://creators.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Off-Channel-Communications--A-State-of-the-Union-e2pqi6c/a-abj83g8]Episode 7 (12/4/2024) [https://creators.spotify.com/pod/show/dcbar/episodes/Securities-Regulation-and-Enforcement-Series-Impact-of-2025-Presidential-Transition-on-the-SEC-e2r7ivg]
In Season 2 Episode 2 of this series, A. Valerie Mirko, Partner at Armstrong Teasdale and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, speak with veteran securities litigator, Daniel Sommers, Partner at Cohen Milstein Sellers & Toll PLLC, about the Private Securities Litigation Reform Act of 1995 (PSLRA) as the statute approaches its 30th anniversary this year. The PSLRA marked a sea change for securities class actions, impacting how those cases are brought, who brings them, and how they are decided. Drawing on his more than three-decade career, Daniel addresses with William and Valerie the evolving landscape of securities class actions, the most significant provisions of the PSLRA, what parts of the PSLRA Daniel thinks have worked (and which have not), and recent developments and trends.
In the exciting kickoff to Season 2, A. Valerie Mirko, Partner at Armstrong Teasdale LLP and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, chat with Pete Driscoll, Partner at PwC and former Director of the SEC's Division of Examinations. Drawing on Pete's unique experience as a former SEC Division Director and staff member, the episode delves into the dynamics of a presidential transition at the SEC. The trio explores key topics such as policy priorities, rulemaking, examinations, enforcement trends, and the evolving role of digital assets and technology in the regulatory space. Whether you're a compliance professional, attorney, or SEC registrant (broker-dealer, investment adviser or dual), this conversation provides valuable insights into the shifting regulatory landscape. Past episodes of this series:Episode 1 (5/22/24)Episode 2 (6/5/2024)Episode 3 (7/24/2024)Episode 4 (8/21/2024)Episode 5 (9/11/2024)Episode 6 (10/23/2024)Episode 7 (12/4/2024) Episode 8 (12/18/2024) Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
This lecture excerpt comprehensively covers Limited Liability Companies (LLCs) and securities regulation, two crucial areas of corporate law. It details LLC formation, emphasizing Articles of Organization and the crucial Operating Agreement, and explores various management structures and tax implications including pass-through taxation and the option for corporate taxation. The section on securities regulation explains the Securities Act of 1933 and the Securities Exchange Act of 1934, focusing on registration requirements, disclosure obligations, and the prevention of insider trading. Hypothetical scenarios illustrate the practical application of these legal concepts, reinforcing the lecture's emphasis on compliance and the importance of understanding the legal and ethical responsibilities associated with LLCs and securities. --- Support this podcast: https://podcasters.spotify.com/pod/show/law-school/support
In episode 8 of Season 1 of the Securities Regulation and Enforcement Series, A. Valerie Mirko, a Partner at Armstrong Teasdale LLP and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, continue to chat about the 2025 Presidential Transition and discuss the nomination of Paul Atkins for SEC Chair. Topics discussed included policy priorities, rulemaking, examinations, enforcement as well as digital assets and technology. Season 2 of this series will kick off in January 2025.Past episodes of this series: Episode 1 (5/22/24) Episode 2 (6/5/2024) Episode 3 (7/24/2024) Episode 4 (8/21/2024) Episode 5 (9/11/2024) Episode 6 (10/23/2024) Episode 7 (12/4/2024)Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations. Thank you to our sponsor! CASEpeer is a comprehensive practice management software for personal injury law firms, optimizing workflows and increasing productivity with robust and intuitive case management and business operations features.
In episode 7 of this series, A. Valerie Mirko, a Partner at Armstrong Teasdale LLP and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, chat about the 2025 Presidential Transition with Sara Crovitz, a Partner at Stradley Ronon and Co-Chair of the firm's Investment Management Practice. Topics discussed included rulemaking, guidance, enforcement as well as crypto. Past episodes of this series: Episode 1 (5/22/24) Episode 2 (6/5/2024) Episode 3 (7/24/2024) Episode 4 (8/21/2024) Episode 5 (9/11/2024) Episode 6 (10/23/2024) Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations. Thank you to our Sponsor! CASEpeer is a comprehensive practice management software for personal injury law firms, optimizing workflows and increasing productivity with robust and intuitive case management and business operations features.
We interview William Clayton on the SEC's private funds rulemaking and related litigation. Professor Clayton lays out his views on agency conflicts in the high-end private funds securities contracting market, discusses the Fifth Circuit's recent decision in National Association of Private Fund Managers v. SEC (5th Cir. 2024), and offers some thoughts looking forward beyond the presidential election. A bit about William Clayton: William W. Clayton is Professor of Law at The J. Reuben Clark Law School of Brigham Young University, where he co-directs the Global Business Law Program and teaches courses on contracts, business organizations, and corporate finance. He is a leading researcher on private markets and private equity funds contracting and governance, whose work has been cited extensively in agency rulemaking and litigation amicus briefs, as well as published in other journals such as the Yale Journal on Regulation and Vanderbilt Law Review. Before joining the BYU Law faculty, Professor Clayton worked as a corporate lawyer at Wachtell-Lipton, and as a private funds lawyer at Simpson-Thacher in New York, and was Executive Director of the Yale Law School center for the study of Corporate Law. Professor Clayton holds a J.D. from Yale Law School, and an M.B.A. and B.A. from Stanford University. We were pleased to publish Professor Clayton's article High-End Securities Regulation: Reflections on the SEC's 2022-23 Private Funds Rulemaking in the Harvard Business Law Review last fall. Now, given subsequent litigation and regulatory updates including National Association of Private Fund Managers v. SEC (5th Cir. 2024), we are thrilled to welcome him to the Harvard Business Law Review Podcast to discuss current events.
In episode 6 of this series, A. Valerie Mirko, a Partner at Armstrong Teasdale LLP and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, chat about the SEC's recent off-channel communications settlements. The episode focuses on the history of these settlements, recent developments and what to expect. Past episodes of this series: Episode 1 (5/22/24) Episode 2 (6/5/2024) Episode 3 (7/24/2024) Episode 4 (8/21/2024) Episode 5 (9/11/2024) Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
Choosing the Right Law School Courses for Your Career Goals This session reviews key themes and information from the provided excerpt of "Choosing the Right Law School Courses for Your Career Goals." It aims to guide law students in strategically selecting courses to align with their career aspirations and develop necessary skills. Main Themes: Self-Assessment and Career Exploration: Students must clearly understand their strengths, interests, and long-term goals to choose relevant courses. Reflecting on 1L experiences, practical experiences like internships, and desired career paths are crucial. Matching Courses to Specific Legal Careers: Different legal careers require specific knowledge and skills. The guide details core and elective courses tailored to paths like Litigation, Corporate/Transactional Law, Public Interest Law, Intellectual Property Law, and Environmental Law. Importance of Practical Skills: Beyond doctrinal knowledge, practical skills gained through clinical programs, externships, and advanced legal writing courses are vital for any legal career. Post-Graduate Opportunities: Strategic course selection can enhance applications for judicial clerkships, fellowships, and public interest positions. Key Ideas and Facts: Understanding Your Aspirations: The guide stresses the importance of introspection, urging students to consider: Enjoyed 1L Subjects: "If you enjoyed Criminal Law and Torts, you might be interested in litigation or criminal defense." Practical Experience: "Consider any internships or externships you've done... Did you prefer client-facing roles, research, or drafting documents?" Long-Term Goals: "Think about where you see yourself in five to ten years. Do you want to work in a big law firm, serve as a government attorney, or work for a nonprofit?" Course Recommendations: The guide provides specific course recommendations for each career path, including examples: Litigation: Evidence, Civil Procedure II, Trial Advocacy, Pre-Trial Practice, Appellate Advocacy. Corporate/Transactional Law: Business Organizations, Contract Drafting, Mergers and Acquisitions (M&A), Securities Regulation. Public Interest Law: Administrative Law, Constitutional Law II, Civil Rights Litigation, Immigration Law. Intellectual Property Law: Intellectual Property Law, Patent Law, Trademark Law, Copyright Law. Environmental Law: Environmental Law, Natural Resources Law, Energy Law. Practical Skill Development: The document emphasizes real-world experience: Clinical Programs: "Clinical programs offer students the chance to work on real cases with actual clients under faculty supervision." Externships: "Externships allow students to gain practical experience in law firms, government agencies, or nonprofit organizations while earning academic credit." Preparing for the Future:Clerkships: "Judges look for students with strong legal research, writing, and analytical skills." Courses like Federal Courts and Appellate Advocacy are recommended. Fellowships: Courses like Civil Rights Litigation and Immigration Law, coupled with practical experience, can strengthen fellowship applications. Quotes: "It's not just about following your interests but strategically aligning your academic path with the legal practice area you aim to enter." "While substantive knowledge is essential, law students should also prioritize building practical skills through experiential learning." "Choosing the right courses is one of the most important steps in shaping your legal career." Overall, this document serves as a valuable roadmap for law students navigating course selection. By carefully considering their aspirations and utilizing the provided recommendations, students can build a strong foundation for a successful legal career. --- Support this podcast: https://podcasters.spotify.com/pod/show/law-school/support
In episode 5 of this series, A. Valerie Mirko, a Partner at Armstrong Teasdale LLP and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, an Associate General Counsel at the Investment Adviser Association, sit down with SEC Investor Advocate Cristina Martin Firvida. The conversation delves into the crucial role of this statutorily mandated position in safeguarding investor interests. Learn about the SEC's engagement with investors, the advocate's unique perspective, and the goals she aims to achieve to protect individual and institutional investors alike. Past episodes of the series: Episode 1 (5/22/24) Episode 2 (6/5/2024) Episode 3 (7/24/2024) Episode 4 (8/21/2024) Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations. Thank you to our sponsors! LawPay was developed specifically to help law firms streamline billing and collections—while providing a simple, secure solution for legal clients to pay their bills. As an industry leader in legal payments, LawPay is a cost-effective solution for more than 50,000 law firms around the country. MyCase is a powerful legal case management software designed to cover the entire client lifecycle, including lead and document management, billing and invoicing, and comprehensive reporting. Automate and streamline everything from client intake and calendaring to workflows and payments in an intuitive, all-in-one solution trusted by more than 17,000 law firms.
In episode 4 of this series, A. Valerie Mirko, a Partner at Armstrong Teasdale LLP and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, an Associate General Counsel at the Investment Adviser Association, discuss recent development in private funds regulation with Karl Egbert, Partner at Baker McKenzie and Co-Chair of the Firm's Global Private Funds Group. The conversation delves into the impact of the Dodd-Frank Act on private fund adviser regulation and then focuses on the SEC's Private Fund Adviser Rule, which the Fifth Circuit vacated in June 2024. The conversation examines the impact of these developments on the private fund adviser industry and also addresses SEC rulemaking authority more generally. Past episodes of the series: Episode 1 (5/22/24) Episode 2 (6/5/2024) Episode 3 (7/24/2024) Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
Josh Lawler is a partner at Zuber Lawler, where he leads the firm's Emerging Technologies Group with a particular emphasis on blockchain technology. Josh previously practiced as a corporate securities and M&A attorney at Skadden, Arps. Jener Sakiri is an associate at Zuber Lawler and focuses on transactional and regulatory matters. He often works with clients involved in blockchain technology. He was previously the Chief Legal Officer of Niftify, a white label NFT marketplace solution for small-medium businesses. Show highlights: [3:52] Securities and crypto [9:05] "crypto contracts" and U.S. regulation [23:00] Realistic options for raising $1 million-plus [24:57] The market [26:34] A new regulatory framework for the advent of decentralized exchanges [33:05] Banning the tools such as Tornado Cash. & much more. Disclaimer: Jacob Robinson and his guests are not your lawyer. Nothing herein or mentioned on the Law of Code podcast should be construed as legal advice. The material published is intended for informational, educational, and entertainment purposes only. Please seek the advice of counsel, and do not apply any of the generalized material to your individual facts or circumstances without speaking to an attorney.
In episode 3 of this series, A.Valerie Mirko, a Partner at Armstrong Teasdale LLP and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, an Associate General Counsel at the Investment Adviser Association, discuss recent developments in insider trading with Deborah Meshulam (Partner and a leader of DLA Piper's Securities Enforcement practice). The conversation begins with the impact of Dodd-Frank Act Section 929P(a) on SEC insider trading prosecutions, and then focuses on the recent jury decision in SEC v. Panuwat, the first case based on a legal theory referred to as “shadow” insider trading. Click HERE to listen to Part 1 of this series from May 22, 2024 and HERE to listen to Part 2 from June 5, 2024. Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations. Thank you to our sponsors! LawPay was developed specifically to help law firms streamline billing and collections—while providing a simple, secure solution for legal clients to pay their bills. As an industry leader in legal payments, LawPay is a cost-effective solution for more than 50,000 law firms around the country. MyCase is a powerful legal case management software designed to cover the entire client lifecycle, including lead and document management, billing and invoicing, and comprehensive reporting. Automate and streamline everything from client intake and calendaring to workflows and payments in an intuitive, all-in-one solution trusted by more than 17,000 law firms.
The series continues by focusing on Dodd Frank Act's Section 913, which addressed the standards of care of broker-dealers and investment advisers, and the regulatory developments in that space since 2010, including the SEC's 2011 Study and 2013 Concept Release leading up to the proposal of Regulation Best Interest in 2018. The podcast also addresses the adoption of Regulation Best Interest in 2019 and the ensuing implementation in 2020, as well as the 2019 Advisers Act Fiduciary Interpretation and 2022 and 2023 SEC Staff bulletins. This episode closes by addressing developments in Department of Labor ERISA rulemaking and state securities and insurance developments. Click HERE to listen to Part 1 of this series from May 22, 2024. Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.
In the complex seas of financial regulation, the Dodd-Frank Act stands as a landmark piece of legislation crafted in the wake of the 2008 financial crisis. Fast forward fourteen years and we are once again in a rulemaking cadence that is unparalleled in speed and impact on the financial services industry. In this podcast series, A. Valerie Mirko, a Partner at Armstrong Teasdale LLP and Leader of the firm's Securities Regulation and Litigation Practice, and William Nelson, an Associate General Counsel at the Investment Adviser Association, will discuss seminal legislation – including the Dodd-Frank Act – that were ushered in as the result of economic crisis and the aftermath of rulemaking, implementation and enforcement. This episode covers The State of the Union on Investor Protection in 2024: Balancing Investor Needs, Industry Costs and Public Policy. As the U.S. faces increasing challenges in its securities markets, government and academic expertise look back to a century of investor protection and balancing costs with the need to protect investors. Our experts will discuss seminal legislation – including the Dodd-Frank Act – that were ushered in as the result of economic crisis and the aftermath of rulemaking, implementation and enforcement. The Dodd-Frank Act signaled the beginning of a new era of investor protection and financial market oversight, which our experts will address while also looking ahead to future potential changes. Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations. Thank you to our sponsors! USI Affinity offers one of the most comprehensive liability programs available to D.C. area attorneys. We specialize just like you specialize in a particular area of practice. As a malpractice insurance specialist, USI Affinity understands the practice of law to protect your hard-earned reputation. Our program features proprietary coverage designed to mitigate risk and eliminate the financial impact of self-insuring. Our highly skilled specialists are here to answer your questions and help you understand your policy. Having more than 50 years of experience in protecting attorneys, we are ready to serve you. LawPay was developed specifically to help law firms streamline billings and collections, providing a simple, secure solution for legal clients to pay their bills. LawPay is the industry leader in legal payments, providing a cost-effective solution for more than 50,000 law firms around the country. MyCase is an intuitive and powerful legal case management software designed to cover the entire client lifecycle, including lead and document management, billing and invoicing, and comprehensive reporting.
Financing and Investment in the Entertainment Industry: Key Legal Aspects 1. Venture Capital, Private Equity, and Crowdfunding Venture Capital and Private Equity Legal Frameworks: Venture capital (VC) and private equity (PE) in the entertainment industry often involve complex legal agreements. These agreements typically cover the amount of capital invested, equity stakes, governance structures, and exit strategies. Due Diligence and Regulatory Compliance: Legal professionals must conduct thorough due diligence to assess the viability and legal standing of the target company. This includes evaluating intellectual property rights, existing contracts, and compliance with relevant regulations. Crowdfunding Regulatory Environment: Crowdfunding for entertainment projects often falls under specific securities law regimes depending on the jurisdiction. In the U.S., the Securities and Exchange Commission (SEC) regulates this under rules like Regulation Crowdfunding (Reg CF), which mandates certain disclosures and limits on fundraising amounts. Legal Considerations: Terms of use for crowdfunding platforms, investor rights, and the nature of the return (e.g., rewards, equity) are critical areas requiring legal scrutiny. 2. Tax Incentives and Government Funding for the Arts Tax Incentives Incentive Structures: Various jurisdictions offer tax incentives to stimulate local production activities, which can include tax credits, deductions, and rebates. Understanding the eligibility criteria and application process is essential. Compliance and Optimization: Entertainment lawyers must ensure that their clients comply with the tax codes and optimally benefit from available incentives. Government Funding Grants and Subsidies: These can be crucial for funding arts and entertainment projects. Legal professionals should be familiar with the application processes and legal stipulations tied to these funds, such as usage restrictions and reporting requirements. 3. Securities Regulation and Entertainment-Related IPOs Securities Regulation IPOs and Regulatory Compliance: For entertainment companies looking to go public, navigating the complex securities regulations is critical. This includes preparing for IPOs through prospectuses that meet disclosure requirements and managing ongoing obligations like quarterly reporting. Market Regulations: Entertainment entities must comply with regulations governing the trading of securities, which can impact how shares in the company are bought, sold, and held. 4. Valuation and Monetization of Entertainment Properties Valuation Techniques Asset-Based Approach: This involves evaluating the tangible and intangible assets of a company, including copyrights, trademarks, and contracts. Income Approach: Forecasts future income from entertainment properties, adjusted for risks and potential growth. Monetization Strategies Licensing and Syndication: Legal structures for licensing agreements, rights management, and revenue sharing need to be meticulously drafted. Direct Revenue Generation: This includes box office sales, streaming revenues, and merchandise. Each stream requires specific legal considerations regarding intellectual property rights and distribution agreements. --- Send in a voice message: https://podcasters.spotify.com/pod/show/law-school/message Support this podcast: https://podcasters.spotify.com/pod/show/law-school/support
Welcome to the Great Women in Compliance Podcast. In this episode, visits with Christina Marshall, is an experienced Ethics and Compliance leader with extensive experience working with US and foreign regulators. Her expertise is in fraud and corruption investigations, risk assessments and operationalizing compliance in complex global organizations. She currently leads the Oracle EMEA Compliance team that is responsible for driving compliance through Europe, Middle East and Africa. She is a US trained litigator with a Juris Doctor from Fordham University School of Law. Christina has worked in private practice as well as a Senior Counsel within the Division of Enforcement at the Securities Exchange Commission which was responsible for investigating violations of the FCPA. Her extensive experience also includes teaching as professor of Securities Regulation, White Collar Crime, Corporations and American Law. Based on her extensive experience, Christina is highly skilled in investigating procurement fraud, money laundering and corruption, leading risk assessments, and creating preventative compliance practices. Christina's perspective on compliance best practices is that it should function as a partnership with the business, focusing significantly on transparency and support for business leaders, rather than acting as the 'police'. Her knowledge in this area has been shaped by her prior experience at the US Securities and Exchange Commission's Division of Enforcement and her extensive engagement with regulators worldwide. Additionally, her time spent teaching law in Russia has enriched her global perspective. She emphasizes the necessity of involving business partners in risk mitigation, with an emphasis on fostering trust and respect, particularly during challenging investigations. Key Highlights · Collaborative Approach to Achieving Compliance Goals · Efficient Risk Management Through Practical Prioritization · Fostering Trust Through Investigative Transparency · Encouraging Curiosity and Open Communication Culture · Global Compliance Strategies in Multinational Operations · Tailoring Compliance Programs for Regional Teams · Enhancing Compliance Practices Through Root Cause Analysis · Enhancing Efficiency Through Clear Communication Resources Join the Great Women in Compliance community on LinkedIn here.
(0:00) Intro.(1:10) About the podcast sponsor: The American College of Governance Counsel.(1:57) Start of interview.(4:00) Alexandre's "origin story." His time as Commissioner of the Brazilian Securities and Exchange Commission (CVM) (2020-2023). (7:34) On his OECD background note on Institutional Investors' Engagement in Latin America (2023).(14:56) Local institutional investors and pension funds engagement in Brazil. *reference to E118 with John Coates: The Problem of Twelve, Index Funds and Private Equity.(17:23) On stewardship codes.(19:58) On internal stewardship teams at asset managers and passive investors.(21:05) Challenges of shareholder activism and dispersed ownership in Brazil.(25:53) Enforcement and Cooperation between U.S. and Brazilian regulators. *Reference Enhanced Memorandum of IOSCO.(28:03) On the governance of State-Owned Enterprises (SOEs).(34:24) The geopolitical landscape and where Brazil stands vis-a-vis China and the U.S.(36:38) Fintech developments in Brazil. *Reference to Pix from Brazilian Central Bank (Open Finance Project).(39:19) The future of corporate governance in Brazil, and prospects to join the OECD. Private right of action for enforcement?(41:29) Book that has greatly influenced his life: The Economic Structure of Corporate Law by Frank H. Easterbrook and Daniel R. Fischel (1991)(42:08) His mentor: his father.(42:47) Quotes that he thinks of often or lives her life by: "No need to hurry but do not waste time" by Jose Saramago. "I'm neither an optimist nor a pessimist, I prefer to be a hopeful realist." (Ariano Suassuna)(43:44) An unusual habit or absurd thing that he loves.(45:34) The living person he most admires.Alexandre Rangel is a former Commissioner of the Brazilian Securities and Exchange Commission (CVM) (2020-2023) and Consultant of the OECD (2023). He's currently practicing law at Rangel Advogados. You can follow Evan on social media at:Twitter: @evanepsteinLinkedIn: https://www.linkedin.com/in/epsteinevan/ Substack: https://evanepstein.substack.com/__You can join as a Patron of the Boardroom Governance Podcast at:Patreon: patreon.com/BoardroomGovernancePod__Music/Soundtrack (found via Free Music Archive): Seeing The Future by Dexter Britain is licensed under a Attribution-Noncommercial-Share Alike 3.0 United States License
Marc I. Steinberg is the Rupert and Lillian Radford Chair in Law and Professor of Law at Southern Methodist University's (SMU) Dedman School of Law in Dallas, Texas. He has served as a professor, fellow or has lectured at several other prominent universities – including the University of Cambridge, Oxford University, King's College-University of London, Heidelberg University, Stockholm University, University of Tel Aviv, Moscow State University, University of Sydney, Auckland University, University of Hong Kong, University of Tokyo, UCLA and the University of Pennsylvania.Professor Steinberg was an attorney for the U.S. Securities and Exchange Commission (SEC) in the SEC's Division of Enforcement and its Office of General Counsel. He also has been retained as an expert witness in several high-profile cases, including Enron, Martha Stewart, Mark Cuban, and the National Prescription Opioid Litigation.Marc is the most prolific author of securities law scholarship in the United States, having authored approximately 150 law review articles as well as approximately 45 books. One of his recent books, Rethinking Securities Law (Oxford University Press 2021), was awarded Winner for the best law book in the United States for 2021 by American Book Fest. He is editor-in-chief of The International Lawyer and The Securities Regulation Law Journal. Professor Steinberg is a member of The American Law Institute.In this episode of Regulatory Ramblings, he talks with host Ajay Shamdasani about his background, growing up in Detroit, Michigan, being hired by the SEC as a staff attorney during the federal hiring freeze imposed during the Carter administration and what he learned during his time as an enforcement lawyer there.Marc also shares his views on why he believes the United States' regulatory structure is a key component in the success of its capital markets, as well as his thoughts on the Private Securities Litigation Reform Act (1995), the Sarbanes Oxley Act (2002) and the Dodd-Frank Act (2010), and whether overlaying rules upon rules makes the U.S. regulatory system complex and unwieldy.The conversation concludes on the topic of legal pedagogy, such as how best to teach core, doctrinal, foundational financial law courses such as securities regulation, as well as the topic of legal ethics and what can be done to inculcate such values into future law school graduates. Also discussed is the four-tier structure of U.S. law schools and the contemporary pervasiveness of grade inflation in academia more generally.Find out more about this episode at: hkufintech.com/regulatoryramblingsHKU FinTech is the leading fintech research and education in Asia. Learn more at www.hkufintech.com.
Eric Hess (@hess_legal) is Founder & Managing Counsel at Hess Legal Counsel, a cybersecurity SaaS platform and consulting company, and hosts The Encrypted Economy podcast. Eric has over twenty years of experience acting as senior in-house counsel, general counsel or senior management for exchanges, broker dealers, and financial services technology providers. In this episode, we'll be exploring his recent paper Bridging Policy and Practice: A Pragmatic Approach to Decentralized Finance, Risk, and Regulation. Disclaimer: Jacob Robinson and his guests are not your lawyer. Nothing herein or mentioned on the Law of Code podcast should be construed as legal advice. The material published is intended for informational, educational, and entertainment purposes only. Please seek the advice of counsel, and do not apply any of the generalized material to your individual facts or circumstances without speaking to an attorney.
In this episode, CII General Counsel Jeff Mahoney interviews Andrew F. Tuch, Professor of Law at Washington University in St. Louis. Professor Tuch is the author of a recent research paper entitled "Fairness Opinions and SPAC Reform."
In July 2023, the SEC proposed new rules that would require broker-dealers and investment advisers to address conflicts of interest that could arise from their use of predictive data analytics. On this episode of the inSecurities podcast, Chris and Kurt welcome back Professor James Tierney to talk about the proposed data analytics rule and Professor Tierney's recent paper, “The SEC's data analytics rule and the ‘Netflix' problem in securities law.” Read Professor Tierney's paper here: https://papers.ssrn.com/sol3/papers.cfm?abstract_id=4524766
Helen Norton, professor of law at the University of Colorado, joins the Business Scholarship Podcast to discuss her article What 21st-Century Free Speech Law Means for Securities Regulation. In her article Norton examines the deregulatory turn in the Supreme Court's First Amendment jurisprudence and argues that that turn should not affect the longstanding functioning of the nation's securities laws. This episode is hosted by Andrew Jennings, associate professor of law at Emory University, and was edited by Warren Zhang, a rising second-year law student.
(Airdate 7/25/23) Eliminate the minimum wage? DEI is discrimination? The talking points are flying as Dominique faces off with the conservative thought leader. Stefan J. Padfield writes in the field of corporate and securities law, publishing in law reviews as well as posting regularly on blogs and Twitter. His most recent published works have focused primarily on corporate theory. His areas of expertise cover a wide variety of business law topics. He is currently teaching Basic Business Associations, Corporations, Securities Regulation, and Mergers and Acquisitions. Professor Padfield received his B.A. from Brown University, and J.D. from the University of Kansas School of Law. Following Mr. In Padfield's conversation, the KBLA delegation weighs in. https://www.dominiquediprima.com/
Joseph Borg, who recently retired from three decades as director of the Alabama Securities Commission, joins the Business Scholarship Podcast to discuss his career as a state securities regulator. Topics in this second part of a two-episode interview include public service in securities regulation; cooperation between state regulators, FINRA, and the SEC; and agency funding and resources. This episode is hosted by Andrew Jennings, associate professor of law at Emory University, and Benjamin Edwards, associate professor of law at the University of Nevada, Las Vegas. The episode was edited by Warren Zhang, a rising second-year law student at Emory University.
The SEC just declared a basket of assets as securities, such as $ATOM, $ADA, and more! Besides, under the lead of Gary Gensler, sued Binance and Coinbase. This is why Gary Gensler and the SEC get heavily criticized right now. However, the is more to unpack here: not necessarily the SEC defines what a security is: congress is! The SEC only enforces the law set by congress and interprets their formulations. Also, there has been a communication gab between the CFTC and SEC - that said, pointing out Gary Gensler as the only one who carries the fault is wrong. Today we sat down with Andrew Hemmingway. He is handling policy communications at Ava Labs. We discussed the definition of what is a security, if the bashing on Gary Gensler has become a bit too populistic, what it means for crypto innovation in the US, when there will be finally regulatory clarity and so much more! - - - - - - Catch up with FRENS VALIDATOR:
Joseph Borg, who recently retired from three decades as director of the Alabama Securities Commission, joins the Business Scholarship Podcast to discuss his career as a state securities regulator. Topics in this first part of a two-episode interview include agency building and administrative structure, state politics and financial regulation, cooperation between state and federal enforcement agencies, memorable enforcement actions, and insights on crypto enforcement by state securities regulators. This episode is hosted by Andrew Jennings, associate professor of law at Emory University, and Benjamin Edwards, associate professor of law at the University of Nevada, Las Vegas. The episode was edited by Warren Zhang, a rising second-year law student at Emory University.
Mea Culpa welcomes legal scholar and advocate, Jennifer Taub. Taub is the author of the best-selling book, ”Other People's Houses." And is formerly an associate general counsel at Fidelity Investments. She is considered a leading expert on the Financial Crisis of 2008, and she's a frequent commentator on corporate governance and financial reform matters. Taub is a graduate of Yale College and Harvard Law School (where she is currently a visiting professor) Taub is also a professor at Vermont Law School, where she teaches Contracts, Corporations, Securities Regulation, and White Collar Crime. Taub's advocacy promotes transparency and opposes corruption. As she likes to say, it's all about following the money.
In March 2022, the Securities and Exchange Commission proposed a new rule that would establish climate-risk disclosure requirements for public companies. The 490-page proposal includes requirements for disclosing direct greenhouse gas emissions (scope 1) and indirect emissions related to use of electricity or other forms of energy (scope 2). While supporters hailed the proposed rule's effort to standardize the disclosures many ESG-focused funds have been making, others zeroed in on a requirement that would obligate larger companies to disclose GHG emissions from upstream suppliers and downstream customers (scope 3).After receiving thousands of comments favoring and opposing the proposal, the SEC postponed its target date for finalizing the rule to spring 2023. Much of the debate centers on the scope of the SEC's authority to mandate climate risk disclosure, an issue that took on additional dimensions after the Supreme Court's June 2022 decision in West Virginia v. EPA, which struck down an EPA rule regulating GHG emissions under the Clean Air Act as contrary to the “major questions doctrine.” Many predict that the final ESG rule will be litigated regardless of what changes the SEC may make to address issues that commenters raised. With the SEC ESG final rule expected soon, this program brings together distinguished speakers who will outline the arguments for and against the SEC's effort to regulate in this area.Paul Ray leads The Heritage Foundation's work on regulatory and economic policy as Director of the Thomas A. Roe Institute for Economic Policy Studies, building on his previous experience as Senate-confirmed Administrator of the Office of Information and Regulatory Affairs at the Office of Management and Budget. He has written widely on a number of regulatory issues, including the SEC's authority to set corporate climate policy.George Georgiev is an Associate Professor of Law at Emory University Law School, focusing on Business Law, Corporate Governance, Securities Regulation, Mergers & Acquisitions, Corporate Finance, and Executive Compensation. Professor Georgiev co-authored an analysis affirming the SEC's authority to adopt climate-related disclosure rules, and filed comments in the rulemaking.The panel will be moderated by Jane Luxton, Managing Partner of the Washington, DC office of Lewis Brisbois Bisgaard & Smith, and co-chair of the firm's Administrative Law & Regulatory Practice.Visit our website - RegProject.org - to learn more, view all of our content, and connect with us on social media.*******As always, the Federalist Society takes no position on particular legal or public policy issues; all expressions of opinion are those of the speaker.
On Wednesday, April 5, 2023, The Center for the Study of Law and Markets, The Federalist Society, and The Business Law Society co-sponsored a lecture by Professor Julia D. Mahoney, "ESG Disclosure and Securities Regulation." Professor Mahoney is the John S. Battle Professor of Law and the Joseph C. Carter, Jr., Research Professor of Law at the University of Virginia School of Law.
0:00 -- Intro.1:35 -- Start of interview.2:05 -- Alan's "origin story".2:43 -- On his background as a U.S. Air Force pilot.4:42 -- On the evolution of his academic career, including at and Stanford GSB and U. of Colorado Boulder.7:01 -- On his Professorship at Cambridge Judge Business School and his role as Co-Director of the Centre for Financial Reporting and Accountability.9:16 -- About the Cambridge Disinformation Summit, on July 27-28, 2023. "I would characterize fraud and greenwashing as disinformation." The difference between disinformation and misinformation.14:49-- His research on fraud is based mostly on public markets (because public market data is more available than private market data).18:18 -- On ESG, anti-ESG and (the accounting and auditing of) greenwashing. On creation of the Cambridge Executive Master of Accounting to focus on some of these emerging matters.24:36 -- Challenges of ESG Ratings. "Despite the fact that it is challenging to measure, I think it's still worth engaging in it."30:24 -- On the SVB collapse, and its accounting/financial reporting issues.37:03 -- On geopolitics, the "uncoupling"/"re-balancing" of US/EU and China and the broader geopolitical landscape. "This is the highest geopolitical risk environment that I've ever lived through." 39:00 -- On microtargeting, and research by his colleague David Stillwell, the director of the Cambridge Psychometrics Centre.40:25 -- On the challenges with TikTok.42:12 -- On the disinformation challenges of Artificial Intelligence (AI).44:35 -- On the SEC amendments to modernize Rule 10b5-1 insider trading plans and related disclosures.47:58 -- Final take-aways for corporate directors: "You need to be paying attention to the information environment, more than just PR." "Your company is a both a political actor and a political target." "Having a Holistic Approach to Information is Critical."50:03 -- The (recent) books that have greatly influenced his life: Power, by Jeffrey Pfeffer (2010)Corruptible, by Brian Klaas (2021)Foolproof, by Sander Van Der Linden (2023)52:19 -- His mentors, and what he learned from them. Annette Beatty, Professor Fisher College of Business at Ohio State University.Joe Olenoski and Peggy Carnahan, (USAF retired)Greg Russo, USAF Captain during his pilot training.54:00 -- Quotes he thinks of often or lives his life by: "The Absence of Negative is Positive." 54:50-- An unusual habit or an absurd thing that he loves: he has watched every single episode of The Bachelor and Survivor franchises (including Australian Survivor). "It's a huge social manipulation game."56:12 -- The living person he most admires: "I sadly don't have an answer. I am waiting for some personality to start building community again."Alan Jagolinzer is a Professor of Financial Accounting and the Co-Director of the Centre for Financial Accounting and Accountability at Cambridge's Judge Business School. His research interests include insider trading, financial reporting, corporate governance, and executive compensation and incentives.__ You can follow Alan on social media at:Twitter: @jagolinzerLinkedIn: https://www.linkedin.com/in/jagolinzer/__ You can follow Evan on social media at:Twitter: @evanepsteinLinkedIn: https://www.linkedin.com/in/epsteinevan/ Substack: https://evanepstein.substack.com/__Music/Soundtrack (found via Free Music Archive): Seeing The Future by Dexter Britain is licensed under a Attribution-Noncommercial-Share Alike 3.0 United States License
0:00 -- Intro.1:47 -- Start of interview.2:19 -- Ann's "origin story". 4:10 -- Her background working with plaintiff law firms, and how that experienced has informed her scholarship.7:02 -- Take-aways from the Twitter v Musk case, the "trial of the century that wasn't." "The broader lesson for me is that it's both a vindication and a condemnation of corporate law":Vindication: The outcome should not have been in doubt (for any expert in that area of law). Musk's case was extremely weak. It's thus a vindication because even Elon Musk, the richest man in the world (at least at the time), cannot evade the law."Condemnation: The take-over has been disastrous for everyone but for the shareholders. That's what corporate law is designed to do: maximize shareholder value. It's been a destructive force, and it is negative for society.15:00 -- On tech layoffs, and Elon's massive layoffs at Twitter. "I don't think we have to accept the pain that he inflicts in order to get the benefits. That isn't necessary."16:57 -- On private equity and take-private transactions. "It's unhealthy."20:44 -- On public benefit corporations and B-corps. "They will solve nothing at all." "Some of the issues: 1) It's opt-in for shareholders, and 2) it does not have enforcement mechanisms that are remotely useful (duties are unenforceable)." "The reasons that corporations advance shareholder wealth has very little to do with a duty of loyalty of the board and very much to do with the structure of corporations: who has voting rights -governance rights- and so forth."28:57 -- On crypto, and the SEC v Sam Bankman-Fried case (FTX). "It's a story of defrauding investors in a private company." "The meta purpose of securities regulation is to make sure that capital is allocated efficiently throughout society. Good companies should get money, and bad companies should not get money, so that our economy can grow appropriately."35:49 -- Litigation in private (venture-backed) companies. Questions on enforceability of information rights restrictions (Delaware section 220 books and records). "Silicon Valley operates under a degree of reputational capital." "[Generally, for these cases] to make it into court there would have to be 1) no arbitration agreement, 2) access to shareholder information rights, and 3) an employee (or other common stockholder) who thinks that there is enough money on the table [to offset] the reputation that they would get if they would sue (their employer or investors)."41:29 -- Litigation in SPACs. "I think we have seen the end of SPACs." The Multiplan and Delman cases.45:45 -- On the McDonald's case and the expansion of Caremark duties owed by officers. "What [the judge] hasn't decided is whether this is the board's decision to make a disciplinary decision or whether it should be instead decided by private lawsuits... now, if he changes the standard of when shareholders can sue -if he adopts a new kind of flexible standard- that would be significant, but we have no idea of whether he is going to do that."49:46 -- On ESG, anti-ESG, and politicization of corporate governance. 56:15 -- On large asset managers passing-through voting power to beneficial owners. 59:02 - The books that have greatly influenced her life: Make No Law: the Sullivan Case and the First Amendment, by Anthony Lewis (1991)Gideon's Trumpet, by Anthony Lewis (1963)59:45 - Her mentors, and what she learned from them. In academia: Jim Cox, Shu-Yi Oei and Ernie Young at Duke Law School.In practice: Bill Fredericks.1:00:32 - Quotes she thinks of often or lives her life by. From Angel (1999 TV Series): "If nothing we do matters, all that matters is what we do.”1:01:07 - An unusual habit or an absurd thing that he loves: free pizzas from Domino's (a measure of the economy!).1:03:46 - The living person she most admires: her mom.Ann M. Lipton is the Michael M. Fleishman Associate Professor in Business Law and Entrepreneurship, and Associate Dean for Faculty Research at Tulane University School of Law. __ You can follow Ann on social media at:Twitter: @AnnMLipton__ You can follow Evan on social media at:Twitter: @evanepsteinLinkedIn: https://www.linkedin.com/in/epsteinevan/ Substack: https://evanepstein.substack.com/__Music/Soundtrack (found via Free Music Archive): Seeing The Future by Dexter Britain is licensed under a Attribution-Noncommercial-Share Alike 3.0 United States License
Find out more about this event on our website: https://bit.ly/3YKqyHd The Philippines is the Association of South East Asian Nations (ASEAN)'s second-largest nation. It is the region's fastest growing population and its third biggest economy. It has a young labor force, a resilient financial sector, and an expanding economy growing by 7.7 percent, year on year, in the first three quarters of 2022. In this webinar, we will hear about the latest financial sector developments in the Philippines, including the role of the Securities and Exchange Commission (SEC) of the Philippines in ensuring the stability of the Philippines' financial system, as well as the SEC's efforts to advance financial innovations and sustainable finance in the country. Speaker: Atty Kelvin Lester K Lee is a Commissioner of the Securities and Exchange Commission of the Philippines. As Commissioner, he directly oversees key regulatory functions of the SEC, such as Markets and Securities Regulation, Sustainable Finance, IT, Fintech and International Affairs. He is a Business Columnist of The Manila Times newspaper and a Law Professor on Corporate Law and Governance. He was recently selected as a Lee Kuan Yew Senior Fellow in Public Service of the National University of Singapore and was awarded as a Philippine Blockchain Champion by the Blockchain Council of the Philippines. Atty Lee is a frequent keynote speaker and resource person, and has spoken in over a hundred events including international events organized in South Africa, Hong Kong, Singapore and Spain, as well as conferences organized by international organizations such as the Asian Development Bank, the OECD, the World Bank and the World Economic Forum. He has also been interviewed by CNN, GMA News and other Philippine and international media channels.
Lo scorso 12 gennaio, Stroncature ha ospitato la presentazione di "Transnational Securities Regulation" di Antonio Marcacci. Con l'autore dialogano Filippo Annunziata e Lucia Quaglia.
In this episode of Emphasis Added, Season 4 hosts Brock Jones and Matt Chelf spoke with University of Houston Law Center Professor Robert Ragazzo about the recent acquisition of Twitter by Tesla and SpaceX's Elon Musk, and what that deal can teach us about acquisitions in general, including their potential pitfalls. Professor Ragazzo is an expert on Securities Regulation, as well as Business Organizations and Closely Held Corporations. Before his illustrious teaching career, he attended Harvard Law, clerked for the Honorable Jon O. Newman of the United States Court of Appeals for the Second Circuit, and practiced law at Wachtell, Lipton, Rosen & Katz. Season 4, Episode 4 Contents:00:25 – Introduction: Professor Robert Ragazzo01:33 – The Steps in any Acquisition03:39 – Disclosure Requirements07:06 – Private Law Suits20:47 – Twitter Defends26:19 – The "Poison Pill"30:30 – Financing Struggles39:32 – The Lawsuit44:07 – The AftermathFor more Emphasis Added content, follow us on Instagram and check out our video content on YouTube!
Security Traders Association President and CEO Jim Toes joins Chris and Kurt to unpack key themes from the STA's 89th Annual Market Structure Conference in Washington, D.C., including crypto regulation, best execution, “gamification,” payment for order flow and other market plumbing issues. Learn more about the STA here: https://securitytraders.org/.
Coinbase and one of its employees are facing legal troubles over a crypto insider trading case. But the implication of the case extend far beyond just those involved. --- This episode is sponsored by · Anchor: The easiest way to make a podcast. https://anchor.fm/app
Bill Hwang, founder of Archegos Capital Management, has been arrested by US authorities and charged with racketeering, fraud and market manipulation.The indictment accuses Hwang and former chief financial officer Patrick Halligan, of using Archegos as an “instrument of market manipulation and fraud” with “far-reaching consequences for other participants in the United States securities markets”.The case marks the first criminal charges against Hwang, one of the so-called Tiger Cub veterans of Julian Robertson's Tiger Management fund whose little-known investment vehicle rattled some of Wall Street's biggest financial institutions when it imploded a year ago.Archegos's collapse caused billions of dollars of losses for investment banks including Credit Suisse, UBS, Nomura and Morgan Stanley after it defaulted on margin calls, with more than $100bn wiped from the valuations of nearly a dozen companies as Archegos's positions were unwound.The group used borrowed money from banks such as Morgan Stanley and Credit Suisse to amass multibillion-dollar positions in US-listed companies such as ViacomCBS — now known as Paramount — and online retailers Shopify and Farfetch. By using derivatives known as Total Return Swaps, where the bank it traded with bought or sold stocks on Archegos's behalf, the firm left no visible footprint of its activity to the investing public.Patrick's Books:Statistics For The Trading Floor: https://amzn.to/3eerLA0Derivatives For The Trading Floor: https://amzn.to/3cjsyPFCorporate Finance: https://amzn.to/3fn3rvC Patreon Page: https://www.patreon.com/PatrickBoyleOnFinanceVisit our website: www.onfinance.orgFollow Patrick on Twitter Here: https://twitter.com/PatrickEBoylePatrick Boyle On Finance YouTube Channel Support the show (https://www.patreon.com/PatrickBoyleOnFinance)
Our guest this week was Rohan Grey, assistant professor at Willamette University College of Law where he teaches Contracts, Business Associations and Securities Regulation. Rohan is also a prominent advocate of Modern Monetary Theory (MMT) and has also recently been involved in drafting regulations in the digital asset and currency space. Our wide ranging conversation took us through historical periods, current policy debates, and included: Why laws have historically been ‘kind to the rich' and ‘just to the poor' The notion of ‘legal realism' The fog of legal liability risks MMT vs Classical Economics Defining money from the MMT vantage point Personifying ‘the taxpayer' Private credit vs official money Why the US actually left the gold standard in the 1930s and not the 1970s The greenback and the paper money movement Currencies backed by precious metals and ‘Schrodinger's Gold' Governments have monopoly over the use of force, but not the creation of money The policy paradigm shift precipitated by the pandemic MMT is not just about deficit spending, and other major policy components Unemployment as a policy choice Biden's “whatever it takes” moment Neoclassical monetary tightening and the ‘shadow of Volcker' E-Cash, CBDCs and policy frameworks for the digital realm Central Bank vs Treasury – who should have sovereignty over the currency Why it can be wrong to be right too soon And much, much more This is “ReSolve's Riffs” – live on YouTube every Friday afternoon to debate the most relevant investment topics of the day, hosted by Adam Butler, Mike Philbrick and Rodrigo Gordillo of ReSolve Global* and Richard Laterman of ReSolve Asset Management. *ReSolve Global refers to ReSolve Asset Management SEZC (Cayman) which is registered with the Commodity Futures Trading Commission as a commodity trading advisor and commodity pool operator. This registration is administered through the National Futures Association (“NFA”). Further, ReSolve Global is a registered person with the Cayman Islands Monetary Authority.
US criminal authorities are gathering information on contacts among dozens of short selling hedge funds and research outfits as they investigate possible trading abuses by hedge funds. This comes after complaints from GameStop and AMC Shareholders.The Department of Justice has sent subpoenas asking for information about a list of more than two dozen firms to a smaller group of market participants. Among other things, they are asking for calendar information and communications.Patrick's Books:Statistics For The Trading Floor: https://amzn.to/3eerLA0Derivatives For The Trading Floor: https://amzn.to/3cjsyPFCorporate Finance: https://amzn.to/3fn3rvC Patreon Page: https://www.patreon.com/PatrickBoyleOnFinanceVisit our website: www.onfinance.orgFollow Patrick on Twitter Here: https://twitter.com/PatrickEBoylePatrick Boyle on YouTube Support the show (https://www.patreon.com/PatrickBoyleOnFinance)
On Monday we saw the fraud conviction of Theranos founder Elizabeth Holmes. This conviction we are told in the press has split Silicon Valley. Supporters worry that the spirit of entrepreneurship has been put in ‘jeopardy' while others say she overstepped boundaries.Tim Draper, a venture capitalist and family friend of Holmes who provided early funding to Theranos, told the New York Times that the outcome made him “concerned that the spirit of entrepreneurship in America is in jeopardy”. He went on to say “I still believe in what she was trying to do, If this scrutiny happened to every entrepreneur as they tried to make this world a better place, we would have no automobile, no smartphone, no antibiotics and no automation, and our world would be less for it.”We have more corporate fraud trials in the pipeline. Former Nikola CEO Trevor Milton is scheduled to go on trial for criminal fraud shortly. He has pled not guilty to lying to investors about the electric truck company's technology. Nikola Motors went public through a SPAC merger under Milton's leadership.Peter Thiel Book - Zero To One: https://amzn.to/3F3KtGNPatrick's Books:Statistics For The Trading Floor: https://amzn.to/3eerLA0Derivatives For The Trading Floor: https://amzn.to/3cjsyPFCorporate Finance: https://amzn.to/3fn3rvC Patreon Page: https://www.patreon.com/PatrickBoyleOnFinanceVisit our website: www.onfinance.orgFollow Patrick on Twitter Here: https://twitter.com/PatrickEBoylePatrick Boyle On Finance - YouTube Channel Support the show (https://www.patreon.com/PatrickBoyleOnFinance)
There's so much to learn at PLI's 53rd Annual Institute on Securities Regulation! Chris and Kurt sit down with program Co-Chairs Meredith Cross of WilmerHale, Keir Gumbs of Broadridge Financial Solutions, and Carmen Lawrence of King & Spalding to hear what the program has to offer. Please visit https://www.pli.edu/insecurities for more information.
Anita Krug, dean and professor of law at Chicago-Kent College of Law, joins the Business Scholarship Podcast to discuss her article Temporary Securities Regulation. Krug presents case studies of SEC temporary rulemaking in times of crisis, including those made in the aftermath of the 9-11 attacks and at the outset of the COVID-19 pandemic. Drawing on these case studies, she proposes that temporary rulemaking could encourage salutary regulatory experimentation. She cautions, however, that crisis rulemaking risks curtailing investor protections just when they are needed most. This episode is hosted by Andrew Jennings, a teaching fellow and lecturer in law at Stanford Law School.
Roberta Karmel, professor of law at Brooklyn Law School, joins the Business Scholarship Podcast to discuss her career as a securities scholar, teacher, practitioner, and regulator. This episode is the second in a two-part series and covers Karmel's scholarship, views on securities policy, advice to scholars and new SEC chair Gary Gensler, and perspectives on teaching. The first episode in the series focuses on Karmel's early career as an SEC enforcement attorney and supervisor, private practitioner, and SEC commissioner—the first woman to serve in that position—and her transition to legal academia. This episode is hosted by Andrew Jennings, a teaching fellow and lecturer in law at Stanford Law School.
Roberta Karmel, professor of law at Brooklyn Law School, joins the Business Scholarship Podcast to discuss her career as a securities scholar, teacher, practitioner, and regulator. This episode is the first in a two-part series and covers Karmel's early career as an SEC enforcement attorney and supervisor, private practitioner, and SEC commissioner—the first woman to serve in that position—and her transition to legal academia. The next episode focuses on Karmel's scholarship, views on securities policy, and perspectives on teaching. This episode is hosted by Andrew Jennings, a teaching fellow and lecturer in law at Stanford Law School.
Alan Rosca is a securities attorney, adjunct professor of Securities Regulation, and speaker and author on Ponzi schemes, investment fraud, cryptocurrencies, and securities regulation. He often contributes and gives interviews in the media across the country on topics ranging from fraudulent investments to bank regulation and professional liability. Alan focuses his legal practice primarily on complex litigation and arbitration arising out of disputes related to investment or securities fraud, market manipulation, corporate governance, and antitrust. Alan has represented thousands of investors across the country and in over 60 countries around the world, in cases against entities accused of securities fraud as well as financial industry members and other professional organizations that played a role in enabling or facilitating fraudulent investment schemes. Listen to this informative Grow Your Business and Grow Your Wealth podcast episode with Alan Rosca about investment law. Here are some of the beneficial topics covered on this week’s show: ● How people sometimes get caught in Ponzi schemes when trying to invest. ● Why people must watch out for the 5% of brokers who only want to make a buck. ● How those taken advantage of are usually professionals not elderly women. ● Why it’s important to do your due diligence when selecting a broker to work with. ● How people need to pay attention to the red flags, so they don’t get duped. Connect with Alan: Links Mentioned: investorlawyers.org Guest Contact Info: Twitter @GSPLAW Facebook facebook.com/lawgsp LinkedIn linkedin.com/company/goldman-scarlato-&-penny-p-c Connect with Gary: Website sbadvisors.cc/ Facebook facebook.com/SmallBusinessAdvisors LinkedIn linkedin.com/in/gary-d-heldt-jr-388a051/ Learn more about your ad choices. Visit megaphone.fm/adchoices
澳大利亚情报局ASIO警告，外国间谍正在利用社交网站培养和培训间其潜在目标。（点击上图收听报道）
Chris and Kurt talk about what a Biden administration could mean for the U.S. Securities and Exchange Commission and the securities regulatory landscape. ----more---- Link to the podcast page for this episode Link to the inSecurities homepage
Securities & Exchange Commissioner Hester Peirce joins Jonathan and Michael to discuss a variety of topics pertaining to the evolution of securities regulation in the United States. Topics include the most recent vote to amend the rules around capital formation and crowdfunding projects to facilitate better outcomes for U.S.-based businesses trying to raise funding and grow. Also discussed were topics such as the recent ATS no-action letter and secondary market considerations for digitized assets, regulatory enforcement, and cross-agency cooperation for crypto and tech regulation. ABOUT COMMISSIONER HESTER PEIRCE Having earned her nickname "Crypto Mom" for her interest in cryptocurrency and blockchain, Hester Peirce is an American attorney specializing in financial market regulation. Peirce currently serves as a Commissioner on the Securities and Exchange Commission (SEC). She previously served as the director of the Financial Markets Working Group at George Mason University's Mercatus Center. Peirce is a former staff member of the United States Senate Committee on Banking, Housing, and Urban Affairs and of the SEC. On August 6, 2020, the Senate confirmed Peirce by voice vote for another five-year term expiring on June 5, 2025. Originally from Cleveland, Ohio, Commissioner Peirce earned her B.A. in economics from Case Western Reserve University in 1993 and her J.D. from Yale Law School in 1997. Follow Commissioner Peirce on Twitter: @HesterPeirce ABOUT DIGITAL DOLLAR SUBSCRIBE TO THE EMAIL INBOX UPDATES! https://digitaldollar.substack.com For more information about our sponsor, visit https://10xts.com Follow us on Twitter --- Send in a voice message: https://anchor.fm/digitaldollar/message
In this podcast, Jean Lorrain, Chair of Toronto Centre’s Securities Advisory Board, discusses the implications of COVID-19 and climate risk for securities regulators, the usefulness of international standards, and “staying the course” in the new normal.
Public companies, investors, and financial services firms may be subject to state securities laws, sometimes called “Blue Sky Laws.” At the heart of the state regulatory system is the North American Securities Administrators Association (NASAA), which represents state and provincial securities regulators in the United States, Canada, and Mexico. On this episode of inSecurities, we chat with NASAA's General Counsel, Vince Martinez, about the role of NASAA, some of its members' policy positions, and its relationship to the SEC and other securities regulatory agencies. Please note: CLE and CPE credit are not offered for listening to this podcast, and the views and opinions expressed within represent those of the speakers and not necessarily those of PLI.
Sehwa Kim, assistant professor of accounting at Columbia Business School, and Seil Kim, assistant professor of accountancy at Baruch College Zicklin School of Business, join the Business Scholarship Podcast to discuss their new article Fragmented Securities Regulation: Neglected Insider Trading in Stand-Alone Banks. In our conversation, the authors explain why some publicly held banks file their securities disclosures with the FDIC (not the SEC) and what implications this fragmented system might have for capital markets.This episode is hosted by Andrew Jennings, a teaching fellow and lecturer in law at Stanford Law School.
Judgment (English)
Summary (English)
With Tesla’s CEO and Chairman, Elon Musk, recently charged by the Securities and Exchange Commission with fraud over his misleading Tweets, we thought it would be timely to check in on the current state of regulatory enforcement in the U.S. We also explore the influence and effect of political administrations on the atmosphere of securities enforcement. Joining us today is Jeff Kern, a partner in the Government Contracts, Investigations, and International Trade Practice Group in Sheppard Mullin’s New York office. What We Discuss in This Episode: Who are the primary actors involved in securities regulation space? What are self-regulatory organizations (“SROs”)? How securities regulations affect the public markets in the U.S.? Is there a laissez-faire state currently? Is the SEC’s response to Elon Musk’s Tweets an example of the SEC acting swiftly to send a message? Is the next big economic crisis right around the corner? What affect does that have on the regulatory landscape? How nature abhors a vacuum – so does regulation The importance of credibility in regulation and how it is established by government agencies Are any states stepping into a more prominent enforcement or even adversarial role? Can a political administration restrain enforcement in this area? How can the C-Suite leverage the new environment? Contact Information: Jeff’s Sheppard Mullin profile Thank you for listening! Don’t forget to SUBSCRIBE to the show to receive every new episode delivered straight to your podcast player every Wednesday. If you enjoyed this episode, please help us get the word out about this podcast. Rate and Review this show in Apple Podcasts, Stitcher Radio, or Google Play. It helps other listeners find this show. Be sure to connect with us and reach out with any questions/concerns: LinkedIn Facebook Twitter Sheppard Mullin website This podcast is for informational and educational purposes only. It is not to be construed as legal advice specific to your circumstances. If you need help with any legal matter, be sure to consult with an attorney regarding your specific needs.
Paul has returned from his trip in Italy, catching up with the latest in politics with Chris Ryan. Then an interview with Mark Connolly, former Deputy Secretary of State and Director of New Hampshire Bureau of Securities Regulation.
John De Goey, a portfolio manager with Industrial Alliance Securities, is back to talk about the latest edition of his book, The Professional Financial Advisor IV. Topics include: what to look for in a financial advisor, what questions to ask them, should commissions be embedded, and more.
In this episode, we review S4, Ep7: "The Patent Troll" and discuss the legality of Bream Hall paying Erlich a finder’s fee, the differences between finders and broker-dealers, the pros and cons of hiring an attorney to negotiate a demand letter, and the three acts that govern investment activity.
Is securities regulation about to take a step backwards in Canada? A new model for cooperative capital markets regulation that has been proposed might spell the end (or at the very least, the delay) of any Best Interest Standard for financial advisors in Canada, the end or delay of a push to ban embedded commissions, and more. Professor Anita Anand, one of Canada's most respected authorities on securities law, explains the lay of the land when it comes to securities regulation in Canada and explains the main points from her recently published white paper examining the impact of the proposed Cooperative Capital Markets Regulator on investor protection. To cut to the chase: it looks like it could be a step backwards. Here's what you can do if you want to help drive investor protection FORWARD in Canada, not BACKWARD: 1. Consider supporting organizations that fight for investor protection (like FAIR Canada). Disclosure: Preet Banerjee is, current to May 18th, 2017, a member of the board of directors of FAIR Canada: https://faircanada.ca/support-us/ 2. Add your email to the free subscriber list for Professor Anand's blog to learn more about Canadian Business Law issues that impact you: https://businesslawblogsite.com/
Epicenter - Learn about Blockchain, Ethereum, Bitcoin and Distributed Technologies
Coin Center is a non-profit in Washington DC that focuses on research and advocacy issues facing public blockchain networks like Bitcoin and Ethereum. Their aim is to protect users and foster innovation through achieving sound policies and regulations. Director of Research Peter Van Valkenburgh joined us to discuss the work of the center and the most pressing regulatory issues facing the industry today. Topics covered in this episode: The origins and objectives of Coin Center How to judge the success of Coin Center Why Peter is more bullish on permissionless than permissioned blockchains The three areas of blockchain regulation: Consumer protection, anti money laundering and securities His view about ICOs Why people should pay attention to money transmission regulations Episode links: Coin Center Website Open Matters: Why Permissionless Blockchains are Essential to the Future of the Internet Framework for Securities Regulation of Cryptocurrencies Twitter Peter Van Valkenburgh This episode is hosted by Brian Fabian Crain and Meher Roy. Show notes and listening options: epicenter.tv/182
Center for Advanced Studies (CAS) Research Focus EU Business Regulation (LMU) - HD
[Conf.] The New EU Financial Markets Architecture – International Conference | In the past years, global financial markets have seen an unprecedented wave of regulation. Regulators worldwide have significantly expanded regulatory reach to formerly unregulated markets (e.g. OTC markets and dark pools), trading practices (e.g. short sales), and market participants (e.g. fund managers), and intensified existing regulation such as disclosure duties or the ban on presumptively abusive trading practices. In the wake of this flood of ever more detailed and far reaching rules, policy makers, regulators and capital market scholars run the risk of losing sight of the "big picture", the fundamental questions and the overall challenges of financial markets regulation: Who should regulate capital markets? Who should enforce regulation? How much deceleration do financial markets need? How intensely should we regulate the distribution of financial products? What is the proper reach of disclosure duties? | Center for Advanced Studies LMU: 02.07.2015 | Speakers: John Armour, Horst Eidenmüller | Moderation: Lars Klöhn
The recent financial crisis led to sweeping reforms that inspired countless references to the New Deal. But were such reforms (then and now) justified? Paul Mahoney discusses his new book, Wasting a Crisis: Why Securities Regulation Fails. See acast.com/privacy for privacy and opt-out information.
The recent financial crisis led to sweeping reforms that inspired countless references to the New Deal. Comparable to the New Deal in both scope and scale, the 2,300-page Dodd-Frank Act of 2010 also shared with New Deal reforms the assumption that the cause of the crisis was misbehavior by securities market participants, exacerbated by lax regulatory oversight. With Wasting a Crisis, Paul G. Mahoney shows that this narrative is formulated by political actors hoping to deflect blame from prior policy errors. Mahoney moves beyond this received wisdom, showing that lax regulation was not a substantial cause of the Great Depression. As new regulations were formed around this narrative, not only were the majority largely ineffective, they were also often counterproductive, consolidating market share in the hands of leading financial firms. An overview of 21st-century securities reforms from the same analytic perspective, including Dodd-Frank and the Sarbanes-Oxley Act of 2002, shows a similar pattern and suggests that they too may offer little benefit to investors and some measurable harm. See acast.com/privacy for privacy and opt-out information.
There has been much discussion about the changes that may be coming in the wake of the recent SEC Investor Advisory Committee meeting, where they considered changing the definition of the term Accredited Investor. In Episode 2 of Accredited Investor Markets Radio, Alicia Purdy explores what this proposal means with guest, Robert Rapp. Robert, a partner in the Securities and Capital Markets Practice of Calfee, Halter & Griswold, LLP. He weighs in on the impact of changing this definition, the thought process behind it and what to expect moving forward. Learn more about SEC Regulations and what it means to be an Accredited Investor by visiting our site, www.aimkts.com Learn more about Robert Rapp by visiting http://calfee.com/attorney/robert-n-rapp/ Bob is Distinguished Practitioner in Residence at the Case Western Reserve University School of Law, where he teaches Securities Regulation and Law, Theory and Practice in Financial Markets. Bob is also a partner in the Securities and Capital Markets Practice of Calfee, Halter & Griswold LLP in Cleveland, Ohio. He handles financial market regulatory, compliance and related administrative and civil litigation matters, for a wide range of market participants and financial intermediaries. Bob is a noted author in the field of securities law and financial market regulation. His work has been published in numerous law journals and cited by courts including the United States Supreme Court. He lectures frequently on capital markets issues. Bob is the author of Blue Sky Regulation, the definitive treatise on state securities regulation in the United States, and is a principal contributing author for Federal Securities Act of 1933 (Matthew Bender Lexis/Nexis).
October 8, 2010 "The Changing World of Securities Regulation" Panel 2 - New Initiatives George Leet Business Law Symposium Center for Business Law & Regulation Case Western Reserve University School of Law Moderator: Frances Floriano Goins, Partner, Ulmer & Berne "Implementing Dodd-Frank through Sensible Lawyering" David M. Becker, General Counsel, U.S. Securities and Exchange Commission "How the Dodd-Frank Bill Affects the Securities Business" Annette L. Nazareth, Partner, Davis Polk & Wardwell LLP "Defenses to Shareholder Proxy Access" Professor J.W. Verret, George Mason University Summary: The George A. Leet Business Law Symposium Endowment was established in 1999 to provide a national forum on business law at Case Western Reserve University School of Law. The symposium, which is held in alternate years, generates knowledge for our students as well as scholars, lawyers, and business people across the country. George Leet was a dedicated and generous supporter of the University for many years. A graduate of Adelbert College (1940) and Case Western Reserve University School of Law (1946), he spent almost his entire career with the National Labor Relations Board, first as attorney-advisor to a board member, then as assistant executive secretary (1953), associate executive secretary (1961), and senior associate executive secretary (1972). He retired in 1980. In 1998, Mr. Leet received the University's Newton D. Baker Distinguished Alumni Award for exceptionally meritorious service to Case Western Reserve University. He was a founding member and a past president of the Washington, D.C. alumni chapter, was inducted into the law school's Society of Benchers in 1989, and served as a longtime member of the Law Alumni Association Board.
October 8, 2010 "The Changing World of Securities Regulation" George Leet Business Law Symposium Center for Business Law & Regulation Case Western Reserve University School of Law Speakers: Dean Robert Rawson, Case Western Reserve University School of Law, Professor George W. Dent, Jr., Case Western Reserve University School of Law Summary: The George A. Leet Business Law Symposium Endowment was established in 1999 to provide a national forum on business law at Case Western Reserve University School of Law. The symposium, which is held in alternate years, generates knowledge for our students as well as scholars, lawyers, and business people across the country. George Leet was a dedicated and generous supporter of the University for many years. A graduate of Adelbert College (1940) and Case Western Reserve University School of Law (1946), he spent almost his entire career with the National Labor Relations Board, first as attorney-advisor to a board member, then as assistant executive secretary (1953), associate executive secretary (1961), and senior associate executive secretary (1972). He retired in 1980. In 1998, Mr. Leet received the University's Newton D. Baker Distinguished Alumni Award for exceptionally meritorious service to Case Western Reserve University. He was a founding member and a past president of the Washington, D.C. alumni chapter, was inducted into the law school's Society of Benchers in 1989, and served as a longtime member of the Law Alumni Association Board.
October 8, 2010 "The Changing World of Securities Regulation" Panel 3 - "Secondary Players and Gate Keepers" George Leet Business Law Symposium Center for Business Law & Regulation Case Western Reserve University School of Law Moderator: John M. Saganich, Partner, Vorys Sater Seymour and Pease "Credit Rating Agencies" Professor Roberta Romano, Yale University "The Broker as Fiduciary" Donald C. Langevoort, Thomas Aquinas Reynolds Professor of Law; Co-Director, Joint Degree in Law and Business Administration, Georgetown University Law Center "The Responsibilities of Auditors and Audit Committees" Professor Mark Taylor, Weatherhead School of Management Case Western Reserve University Summary: The George A. Leet Business Law Symposium Endowment was established in 1999 to provide a national forum on business law at Case Western Reserve University School of Law. The symposium, which is held in alternate years, generates knowledge for our students as well as scholars, lawyers, and business people across the country. George Leet was a dedicated and generous supporter of the University for many years. A graduate of Adelbert College (1940) and Case Western Reserve University School of Law (1946), he spent almost his entire career with the National Labor Relations Board, first as attorney-advisor to a board member, then as assistant executive secretary (1953), associate executive secretary (1961), and senior associate executive secretary (1972). He retired in 1980. In 1998, Mr. Leet received the University's Newton D. Baker Distinguished Alumni Award for exceptionally meritorious service to Case Western Reserve University. He was a founding member and a past president of the Washington, D.C. alumni chapter, was inducted into the law school's Society of Benchers in 1989, and served as a longtime member of the Law Alumni Association Board.
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