June 27, 2017
Attorney Brian A. Lebrecht will be speaking at NBI's "A Primer on Advising Directors and Officers on Corporate Governance" in Salt Lake City.
Further details, including registration, will be posted when available.
Febuary 5th-7th, 2017
As a participant in Building Trial Skills, you will use NITA's "learning-by-doing" method to learn, practice and perfect your skills in all of the challenging arts of trial advocacy, persuasion, and communication.
In a realistic trial setting, you will function as a trial lawyer by performing:
- Opening statements and closing arguments
- Direct and cross-examinations (both constructive and destructive)
- Impeachment and redirect examaminations
- Evidentiary foundations
- Modern voir dire
The learning-by-doing exercises are supplemented by innovative lectures and trial demonstrations by the faculty. Following your live and digitally recorded performances, you will be given instant feedback and critique (not criticism) from the renowned national NITA faculty of master advocates and trainers under the direction of Dominic Gianna, one of America\'s finest trial lawyers and most dynamic teachers of advocacy.
You will learn verbal, non-verbal, and visual communication techniques while practicing the art of thinking and communicating on your feet, without notes. The program concludes with a full jury trial. You will perform as trial counsel before a real jury and will get the unique opportunity to see and hear the jurors deliberate via closed circuit TV. Thereafter, you have the opportunity to ask the jurors questions and hear their feedback. This feature is unique to NITA trial programs.
The program qualifies for approx. 49 hours of CLE credit, including Ethics and Professionalism.
You can register online here or call 800-225-6482
January 12-13th, 2017
Each year, the National Institute draws elite officials from both the U.S. Department of Justice and the U.S. Securities and Exchange Commission for an exclusive educational and professional forum to examine current legal and ethical issues relating to securities fraud.
Attorney Brent R. Baker will be moderating the panel "The Impact of Anti-Money Laundering, Know Your Customer and SAR Rules" at the 11th Annual National Institute on Securities Fraud, on January 12th at 9:00 am.
The panel will address Broker-dealers, Investment Advisors, transfer agents and other registered entities who are constantly grappling with AML procedures, KYC rules and knowing when to and when not to file Suspicious Activity Reports. FINRA, the SEC and DOJ are all watching closely, and the ramifications for non-compliance are severe, including multi-million dollar sanctions, time away from the industry and potentially jail. Experts from both sides will elucidate what gets the regulators attention and what clients can do to avoid the spotlight.
Further information and registration can be found here.
Grand Summit At Canyons Village
4000 Canyons Resort Dr Park City, UT 84098-6546
December 6, 2016
The SEC has been increasingly aggressive in bringing enforcement actions against those involved in transactions with unregistered broker-dealers. Recently, the SEC has imposed sanctions on private equity firms and managers for using unregistered broker-dealers. The SEC is also closely scrutinizing unregistered broker-dealer issues in its OCIE compliance exams of private investment funds.
Furthermore, fund managers and companies can be subject to SEC enforcement actions for aiding and abetting a finder’s violation of the broker-dealer registration requirements. In addition to SEC sanctions, the use of an unregistered broker-dealer brings the risk of rescission under federal and state securities laws.
These events show that involving finders in capital raising brings significant risks, and there is no safe harbor or clear distinction of a finders duties in the securities laws.
The SEC and FINRA have issued some guidance to clarify the distinction between a legally-operating finder and an unregistered broker-dealer. This guidance includes no-action letters, rules and interpretations for M&A brokers, investment platforms and crowdfunding participants. Further regulatory action also seems likely.
The panel will discuss these issues, analyze the legal pitfalls and provide practical guidance. For example, the panel will address the following questions:
• What activities require broker-dealer registration with the SEC and FINRA?
• What penalties and actions do issuers face in using unregistered broker-dealers in their capital raising efforts?
• How do the SEC and FINRA’s guidance on finder activities in the M&A arena inform the permissible activities of finders in the securities and fund arenas?
After the presentation, the panelists will engage in a live question and answer session with participants so they can answer questions about these important issues directly.
For more information or to register visit the website or call 1-800-926-7926 ext. 10
Ask for Use of Unregistered Finders to Solicit Investors on 12/6/2016
Mention code: ZDFCT
November 18th, 2016
Little America Hotel
500 Main Street
Salt Lake City
November 18, 2016
Attorney Lisa Marcy will be presenting with Dominic Gianna on "Mastering the Art and Science of Advocacy and Persuasion" at the Puerto Rico Labor Relations Board.