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Dodd-Frank Financial Reform & Securities CLE 24/7 On-demand Downloadable Seminar & Podcast

SKU: 912467432 $179.00 $139.00 Rossdale Savings:: $40.00

Learn the latest on Dodd-Frank Financial Reform & Securities. Attend this 24/7 On-demand downloadable seminar. Register to download this seminar and obtain CLE credit, receive comprehensive course and reference materials, and attend this on-demand seminar. Registration also includes a complimentary download of the Podcast of this seminar. Listen & learn at your convenience. Listen as many times as you wish and even save the files to your computer for future reference. Register to obtain CLE/MCLE credit, receive comprehensive course materials, and listen and learn on your convenience.

Dodd-Frank Financial Reform & Securities
24/7 On-demand Downloadable Seminar & Podcast

Dec. 1, Noon - 1:30 PM (Eastern Time)

Listen & learn at Your Convenience.


The global financial crisis and a series of recent Supreme Court cases have increased the focus on securities cases and their import in a dynamic corporate and litigation practice. Our panel of leading practitioners includes a former SEC & DOJ attorney and two of the leading figures in Dodd-Frank financial reform and whistleblower protection. Our faculty will cover strategies for prosecuting and defending securities cases, the effect of the Merck and Morrison decisions, implications of the financial crisis on securities litigation, changes to the law created under the Dodd-Frank Financial Reform Act, government enforcement initiatives, as well as best practices for securities litigation. Learn from our nationally regarded speakers as they teach you the latest on Dodd-Frank, securities, financial regulation and their impact on your corporate and litigation practice.


John Carney on Current Trends on Transactions & Securities Litigation

1. Plaintiff and Defense Perspectives

2. The Effect of the Financial Crisis on Securities Litigation

3. Current Developments in Pleading Standards

4. Director & Officer Liability

5. Filing & Settlement Trends

6. Corporate Scienter

7. Foreign Plaintiffs and Morrison

8. Statute of Limitations and Merck

Kathleen Scott on the Dodd-Frank Regulatory Reform

1. What is Dodd Frank?

2. Change Related to Systemic Risk

3. Dissolution Authority

4. Higher Capital Requirements

5. “Volcker Rule”

6. Strengthened Regulatory Oversight

7. Bureau of Consumer Protection

8. Impact on Commercial Lending

9. How does it change things for the private practitioner?

10. How does it change things for in-house counsel?

David R. Woodcock, Jr. on Whistleblower Provisions and the Implications for Corporate Counsel

1. New Incentives for Whistleblowers

2. New Protections for Whistleblowers

3. Under the SEC and CFTC Bounty Programs

4. Whistleblower Protections for Financial Services Employees

5. Expanded Whistleblower Protections Under Other Statutes

6. Risks Under the FCPA

7. The Act Is Not Limited to FCPA Violations

8. Practical Steps to Dealing with the New Provisions

Interactive Question & Answer Session

Biography of Seminar Faculty:

1. Kathleen Scott is a member of the financial services group at Arnold & Porter, where she represents banking clients with respect to the regulatory aspects of mergers and acquisitions, establishment of new banking organizations and non-banking affiliates, and other transactions. Ms. Scott concentrates her practice on providing bank advisory legal advice to foreign and domestic banks on a broad range of bank regulatory issues. Prior to joining the private sector, Ms. Scott served as a senior staff attorney at the New York State Banking Department and the United States Department of the Treasury, where she focused on financial enforcement matters such as anti-money laundering statutes and regulations, international banking matters and also worked on several major enforcement actions with other state and federal regulatory agencies. She co-drafted many of the amendments to the New York Banking Law that were made after each of these liquidations. She continues to advise financial institutions, other businesses, and non-profit organizations on compliance with their responsibilities under the US anti-money laundering laws, including the enhancements to these laws enacted as part of the 2001 USA PATRIOT Act.

2. John J. Carney , a partner at Baker Hostetler and a former Securities Fraud Chief, Assistant United States Attorney, U.S. Securities and Exchange Commission (SEC) Senior Counsel and practicing CPA, serves as co-leader of the firm’s national White Collar Defense and Corporate Investigations group and focuses his practice on securities regulatory enforcement and litigation defense, foreign corrupt practices act compliance and defense, and white collar corporate investigations. Mr. Carney provides representation to public corporations, their officers, directors and employees, regulated entities and others in SEC investigations and criminal law enforcement investigations, as well as in related civil litigation. Mr. Carney’s financial background and depth of experience in domestic and international regulatory and criminal enforcement matters and complex litigation have also caused him to be repeatedly retained by audit committees, corporations, and senior officers of major public companies to advise them during investigations and to design remedial compliance and corporate governance measures. He has significant experience in conducting investigations of possible FCPA violations and other potentially improper foreign country-based financial transactions, including those involving alleged bribery and “facilitating payments.” Mr. Carney has also worked proactively with companies to structure and implement FCPA compliance programs that are designed to avoid potential violations and to lessen any government sanction should a FCPA violation occur. Prior to joining the firm, Mr. Carney served for more than 14 years with the U.S. Securities and Exchange Commission and U.S. Department of Justice, where he was responsible for the administration and supervision of all securities and healthcare fraud investigations and prosecutions in the District.

3. David R. Woodcock, Jr., a partner at Vinson and Elkins, where his practice focuses on corporate litigation, principally securities class actions, shareholder derivative actions, director and officer liability, and cases involving complicated accounting and auditing issues. He also has significant experience in business litigation and antitrust matters. Mr. Woodcock practiced in public accounting for several years before attending law school and has been named a “Texas Rising Star” in securities litigation by Texas Monthly. Mr. Woodcock has written and practiced extensively in the areas of director and officer liability, securities litigation and securities enforcement, including obtaining a dismissal of claims against a hedge fund and fund advisor in litigation related to the Bernard Madoff investigation. He is a graduate of The University of Texas School of Law and previously clerked for Hon. Howell Cobb, U.S. District Court for the Eastern District of Texas.

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

Only registered attendees will receive CLE credit for attending this course. Sign-up today to listen & learn at your convenience with this 24/7 on-demand downloadable seminar & podcast

CLE ACCREDIATION: The Rossdale Group, LLC is a national leader in attorney education and has trained thousands of attorneys, paralegals, and other legal professionals. Attend this on-demand seminar for approved and pending CLE & MCLE credit for members in the following jurisdictions:

State Bar of California for 1.5 MCLE credits

Georgia Bar for 1.5 CLE credits

The State Bar of Nebraska for 1.5 CLE credits

The Nevada Board of Continuing Legal Education for 1.5 CLE credits

The New Mexico Minimum Continuing Legal Education Board for 1.5 CLE credits

The New York State Bar for 1.5 CLE credits

The Oregon State Bar for 1.5 CLE credits

The Washington State Board of Continuing Legal Education for 1.5 CLE credits

The Wisconsin Board of Bar Examiners for 1.5 CLE credits


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