US Securities Law

Originally held on June 7, 2011, the archived conference is now available for purchase either as a video stream with downloadable link to materials; or on CD-Rom (audio archive with program materials).

Canadian securities and corporate lawyers, in-house corporate counsel, regulators and compliance officers tend to learn U.S. regulatory requirements piecemeal, on an “as needed” basis. But, as the volume of cross-border activity increases, it’s more important than ever to have a complete understanding of how the U.S. system works.

This Osgoode Professional Development program provides a comprehensive and in-depth overview of U.S. securities law. It was designed for professionals who are looking to expand and update their knowledge on U.S. securities law and regulation, while also providing newer practitioners with the necessary overview to understand this demanding regulatory environment.

Highly experienced practitioners from both the U.S. and Canada will deliver practical information and explore key issues in U.S. securities law, including:

  • Comparison of Canadian and current U.S. securities regulation
  • Proposals for reforming U.S. regulatory structures and their application to Canadian companies
  • Expanded extraterritorial jurisdiction for enforcement action by the SEC post-Morrison
  • Cross-border securities enforcement and responses to investigations
  • Exemptions from Registration of Interest
  • Complying with U.S. domestic Tender Offer Rules
  • Exemptions and registration options under the MJDS
  • U.S. resale registrations in connection with U.S. companies listed in Canada
  • Foreign investor reporting requirements
  • Tender offer regulations in M&A: domestic and international
  • Impact of the Dodd-Frank Act on securities reform, corporate governance and disclosure requirements

This is a rare opportunity to learn from top U.S. practitioners and have your questions answered by those who practice U.S. securities law every day, while benefiting from Canadian practitioner’s perspectives on what is important for you to know.

Chairs

Richard E. Baltz, Arnold & Porter LLP (Washington)
Hellen L. Siwanowicz, McMillan LLP

OPD Program Lawyer

William Luby

wluby@osgoode.yorku.ca