Insider trading, whistleblowers, and the SEC’s move to use more administrative hearings than ever before — these are just some of the issues that will be covered in a half-day CLE program presented by the ABA Section of Litigation’s Securities Litigation and Alternative Dispute Resolution committees.
Thompson Coburn securities litigator Helen B. Kim, the current co-chair of the Securities Litigation Committee, will kick off the program with opening remarks.
Program sessions will address the impact of the Second Circuit’s recent insider trading opinion in U.S. v. Newman and Chiasson and the practical consequences of the SEC’s stated course. Another panel will discuss the implications of the growing presence of whistleblower reporting, whether to self-report, and the increasing possibility of parallel proceedings.
The final panel will focus on the boundaries of rules governing private placements, the importance of compliance with rules and conditions of exempt offerings, and the consequences of any failures. Thompson Coburn partner David Kaufman will serve as a panelist for the session.