Attorney Professionalism in the Capital Markets and Financial Service Industry

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Wyoming CLE
Accreditation Info

United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .

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June 23
This course aired live on Wednesday, June 23, 2021
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About This Course

This CLE course will explain the role of an attorney in capital markets. The course will explain legal opinions related to public and private offerings, issues related to serving as an advisor on a corporate board and a representative of officers, directors or shareholders in regulatory investigations and government proceedings. SEC Rule 102€, disciplinary proceedings, civil litigation and how to coordinate with other professionals such as CPA’s will all be addressed.

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