Learn the latest on Mastering Dodd-Frank, Securities & Commodities Laws with this convenient, 24/7 On-demand Seminar & Complimentary Podcast. Register to obtain CLE & MCLE credit, online access to complete course & reference materials, and attend this on-demand seminar. YOU MAY LISTEN FROM ALMOST ANY TYPE OF COMPUTER OR IPOD. ACCESS TO THE RECORDING AND MATERIALS DOES NOT EXPIRE.

Benefits:

Recent changes to the Dodd-Frank Act and other cutting-edge developments in securities & commodities laws across the nation have led to a significant growth in corporate opportunities and related service providers, including for the plaintiffs' bar, defense counsel, and in-house attorneys. The laws and procedures involving investigations and enforcement have recently evolved in material ways. The faculty for this seminar features several leading authorities on the subject, who will describe these changes. This comprehensive program will introduce you to the most relevant issues and practical solutions, including whistle-blowing, pit falls to avoid, the future of the Dodd-Frank Wall Street Reform & Consumer Protection Act, winning with agency rules, and handling the securities enforcement proceeding. The faculty will also cover the changes and progress on the latest legal developments and future regulations. Registration includes online access to course and reference materials that serve as a helpful guide to the numerous topics and techniques discussed in the program.

Agenda:

Understanding the Securities & Commodities Laws Framework:

a. Future of the Dodd-Frank Act

b. Federal, State, & Self-regulatory Organizations

c. Latest Opinions

d. Changes to Enforcement Procedures

Handling the Successful Investigation:

a. Determining Sources for Investigations

b. Legal Issues involving Market Surveillance, Public Data, and Media

c. Whistle-blower Claims

d. Cutting-edge Issues in Conduct of Investigations

e. Handling Documents

Mastering Enforcement Proceedings:

a. What Most Lawyers Do Not Know about the Letter of Caution

b. Winning in Administrative Proceeding

c. Effectively Getting to Settlement

d. Business Conduct Committee

e. Business Opportunities with Future Outlook

Recorded Question & Answer Session

Biography of Seminar Faculty:

1. James Kopecky is a Founding Member of Kopecky Schumacher Rosenburg PC, where he brings a wealth of litigation and regulatory experience as a former Branch Chief of the United States Securities and Exchange Commission's Division of Enforcement. At the SEC, Jim led a team of attorneys and staff that investigated and prosecuted securities fraud, including insider trading, accounting fraud, complicated market manipulation actions, ponzi schemes, offering frauds and sales practice actions. Mr. Kopecky frequently litigates matters on behalf of public companies, broker-dealers, hedge fund managers and individuals in both state and federal courts across the country, as well as arbitrations before the Financial Industry Regulatory Authority, the National Futures Association, and the American Arbitration Association. He regularly defends securities firms and financial professionals being investigated or sued by regulatory and self-regulatory agencies such as the SEC, The New York Stock Exchange, Inc., and FINRA. Jim also acts as an independent investigator for investigations under Sarbanes Oxley and as an independent expert consultant to companies disciplined by Self Regulatory Organizations. He has been quoted in the Wall Street Journal, The Chicago Tribune, and other nationally syndicated newspapers.

2. James Moylan is a leading authority in the securities and commodity futures litigation practice. He also counsels business owners on: types of business entities, formation of business entities, governing documents and governance, reporting, compliance and best practices. He began his career as a Trial Attorney in the Division of Enforcement at the United States Securities and Exchange Commission in Washington, D.C. Thereafter, Mr. Moylan joined the Chicago Board Options Exchange, Inc., as Assistant General Counsel. Several years later, Mr. Moylan entered private practice. Over the last four decades, Mr. Moylan has become one of the go-to practitioners in complex litigation and matters affecting business owners. He has authored over a dozen law review articles and is a highly sought-after lecturer nationally. Mr. Moylan serves as an Adjunct Professor of Law.

2. David Slovick practices at Cahill Gordon & Reindel LLP, where he focuses on enforcement and compliance matters arising under the federal laws governing the derivatives and securities markets, including the Commodity Exchange Act, the Securities Exchange Act of 1934, the Securities Act of 1933, and the Dodd-Frank Wall Street Reform Act. Mr. Slovick represents clients in investigations and litigation conducted by the U.S. Commodity Futures Trading Commission, the U.S. Securities and Exchange Commission and the U.S. Department of Justice, among other regulatory agencies, including matters involving financial benchmark fixing, algorithmic trading, and purported market manipulation. He is recommended as a leading lawyer by The Legal 500 for white-collar and criminal defense. Mr. Slovick previously served for nearly a decade as a Senior Attorney in the Enforcement Divisions of the two principal U.S. financial regulatory agencies, the CFTC and the SEC. During that time, he led numerous administrative investigations and federal court actions involving a broad range of conduct in the derivatives and securities markets, including futures, swaps and securities trading practices; insider trading; commodity pool fraud; futures and foreign-exchange Ponzi schemes; securities offering and disclosure fraud; accounting fraud; and options trading.

Who should attend this seminar?
Attorneys, judges, paralegals, and legal professionals.

You will receive access to recording, podcast, course & reference material, and information related to CLE/MCLE credit as soon as you register with a credit card or when your check is processed.

CLE ACCREDITATION: Rossdale CLE is a national leader in attorney education and has trained thousands of attorneys, paralegals, and other legal professionals. Attend this convenient, 24/7 on-demand seminar for CLE & MCLE credit with the following pending, available, & approved jurisdictions:

Alaska Bar Association for 1.5 CLE Credits *

Arizona State Bar for 1.5 CLE credits**

California State Bar for 1.5 MCLE credits

Colorado Supreme Court Board of Continuing Legal & Judicial Education for 1.8 CLE Credits

Connecticut for 1.5 CLE Credits

District of Columbia (CLE credits are not required)***

Florida Bar for 2.0 CLE credits

Georgia Bar for 1.5 CLE credits

Hawaii State Board of CLE for 1.5 CLE credits

Idaho State Bar for 1.5 CLE credits

Indiana Commission for Continuing Legal Education for 1.5 CLE Credits

Iowa Commission on Continuing Legal Education for 1.5 CLE Credits

Louisiana Supreme Court Commission on MCLE for 1.5 MCLE credits

Maryland (CLE credits are not required)***

Massachusetts (CLE credits are not required)**

Michigan (CLE credits are not required)***

Minnesota State Board of Continuing Legal Education for 1.5 CLE credits

Mississippi Commission on Continuing Legal Education for 1.5 CLE credits

Missouri Bar for 1.8 MCLE Credits

Montana Commission of CLE for 1.5 CLE Credits

Nevada Board of Continuing Legal Education for 1.5 CLE credits

New Hampshire for 1.5 CLE credits ****

New Jersey Board on Continuing Legal Education for 1.5 CLE credits (per Rule 201:4)

New Mexico Minimum Continuing Legal Education Board for 1.5 CLE credits

New York State Bar for 1.5 CLE credits

North Carolina State Bar Continuing Legal Education for 1.5 CLE credits

Ohio - Supreme Court of Ohio Commission on CLE for 1.5 CLE Credits

Oklahoma Bar Association for 1.5 CLE Credits

Oregon State Bar for 1.5 CLE credits

Pennsylvania Continuing Legal Education Board for 1.5 CLE Credits

South Dakota (CLE credits are not required)***

Tennessee Commission on CLE for 1.5 CLE Credits

Texas State Bar for 1.5 CLE credits

Utah State Board of Continuing Legal Education for 1.5 MCLE credits

Vermont Mandatory Continuing Legal Education Board for 1.5 CLE credits

Virginia State Bar for 1.5 MCLE credits

Wisconsin Board of Bar Examiners for 1.5 CLE credits

Wyoming State Bar for 1.5 CLE credits

Additional States - call customer service at (888) 626-3462

* Members of the Alaska Bar Association may report 1.5 CLE credits for participating in this course as it has been approved by other mandatory CLE jurisdictions for 1.5 CLE credits.

** The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. This activity may qualify for up to 1.5 hours toward your annual CLE requirement for the State Bar of Arizona, including 0 hour(s) of professional responsibility.

*** States that do not require CLE are indicated above. Rossdale does not apply for CLE in these states as CLE credit is not required.

**** The New Hampshire does not approve or accredit CLE activities for the Continuing Legal Education requirement. Pursuant to NH Supreme Court Rule 53, this activity may be counted for up to 1.5 CLE hours.


For additional questions, please call 888-626-3462.

REGISTER FOR CLE CREDIT AND LISTEN & LEARN AT YOUR CONVENIENCE WITH THIS CONVENIENT 24/7 ON-DEMAND SEMINAR & PODCAST.

You will receive an on-demand download of the seminar, accompanying materials, and information to report the CLE credits as soon as you register with a credit card or when we process your check.