Stock Market Basics for Lawyers and Legal Professionals
Date: Sep 16, 2022 9:00 a.m. – 12:00 p.m.
Location: Online
Areas of Law:
Earn up to 4 credits! (More Information)
Keynote
Moderator
- Logan S. Fisher, Esq.
- Bressler Amery & Ross, PC, Morristown
Presenters
- Jennifer Rodriguez, Esq.
- Ira M. Starr, Esq.
- Starr Gern Davison & Rubin, Roseland
Understanding financial markets, business strategy, and industry analysis are all skills that are not taught in law school, but are vital to attorneys. This informative program will provide you with a basic understanding of the Stock Market and Securities to enable you to better advise your business clients, run your firm and your own finances better, or get your feet wet if you’re looking to expand your practice into Securities Law.
Seminar Outline:
- Define “Stock Market”
- Stock Exchanges
- OTC
- Options
- Derivatives
- Equity vs debt instruments - The “Players”
- Brokers
- Dealers
- Investment companies
- Hedge funds
- Banks
- Issuers
- Underwriters
- Investment advisors
- Clearing houses
- Market indices (NASDAQ, DJ, S&P) - Glossary of Unique Terms
- Bull/bear markets
- Short sale
- Puts/Calls (plus the various option combos such as strips and straddles) - Regulatory Scheme
- SEC
- Securities Act of 1933
- Securities Exchange Act of 1934
- Investment Company Act
- Investment Advisers Act
- FINRA
- Blue Sky legislation - Securities Offerings
- Mechanics of underwriting
- Mechanics of registration
- Exemptions available
- Unusual offerings e.g. SPACs and Cryptocurrency - Securities Litigation
- Customer vs broker-dealer
- Federal/state court actions
- Arbitration
- Shareholder vs issuer or investment company
- Describe class actions
- Government entity vs issuer or investment company
- Government or regulator vs broker-dealer
- Insider trading cases
- By government
- By shareholder
Important Information About Our Events, Meetings, and More:
To secure your spot and receive important updates about our events, meetings, and other gatherings, such as schedule changes, remember to register in advance.
Digital Materials & Environmental Commitment: As part of our commitment to environmental sustainability, unless otherwise noted, all seminar materials are provided as digital downloads. You can access these materials through:
- The “My Links” section at the top of our website for in-person or online events
- Or, for online programs, the event access link included in your joining instructions
Cancellation and Refund Policy:
If you need to cancel your registration and are not transferring to another program or date, please submit a written request to us at least three business days before the event, meeting, or gathering. You will receive a refund minus a $20.00 cancellation fee. No refunds or registration changes will be issued within three business days of the event, meeting, or gathering.
Stay Informed:
Registered participants will be notified of any schedule changes. For updates regarding inclement weather, please check your email or visit NJSBA.com.
Media Consent:
By participating in our events, meetings, or other gatherings, you agree to be photographed and/or recorded. Additionally, all media content captured during these gatherings will become the property of NJSBA. This content, including your image and name, may be used in our future promotional materials without additional consent or compensation.
Scholarship & Financial Assistance Policy:
Read our Scholarship & Financial Assistance Policy and submit an Application here: https://njsba.com/njicle/cle-programs/scholarship/