Stock Market Basics for Lawyers and Legal Professionals

Date: Sep 16, 2022 9:00 a.m. – 12:00 p.m.

Location: Online

Event Code: I104222

Areas of Law:

Earn up to 4 credits! (More Information)




Logan S. Fisher, Esq.
Chair, Securities Law Committee
Bressler Amery & Ross, PC, Morristown


Jennifer Rodriguez, Esq.
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

CLE Credits
NJ CLE:NJ CLE information: This program has been approved by the Board on Continuing Legal Education of the Supreme Court of New Jersey for 4 hours of total CLE credit (Full Credits Available: NJ General: 4.0).
NY CLE (t&nt):NY Professional Practice Transitional: 4.0
PA CLE:PA Substantive Credit: 3.0
New: No PACLE fee is required for this program. To earn PA CLE credits, a valid PA Bar ID number must be entered into the CLE form provided after attending the program.

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.

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

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:



Founded in 1899, the NJSBA is the largest organization of attorneys, judges and legal professionals in New Jersey. At the core of our mission is improving the lives of our members, advancing the rule of law and serving as the voice of the profession. With 85 sections and committees, the NJSBA allows attorneys to benefit from being part of the most wide-reaching legal association in the state, while still cultivating expertise and building networks within specialized practice areas.



The New Jersey State Bar Association is committed to promoting and fostering a diverse and inclusive bar association. The Association recognizes that the broad concept of diversity includes race, ethnicity, gender, gender identity, sexual orientation, religion, age and disability. The NJSBA fosters and promotes an inclusive environment that gives value to the unique contributions of diverse individuals and organizations in all aspects of the Association.

Learn More


The NJSBA Legal and  Government Affairs Department serves as the liaison between NJSBA members and the state’s three branches of government.

News and Press Publications

Learn more about the accomplishments of the Association, its members and events from regular news updates, press releases, and our award-winning magazine.



Read the comments, reports, resolutions and Board of Trustee news from the state’s largest organization of lawyers, judges and legal professionals.


Statements and Positions

The NJSBA is the voice of the profession and takes public positions on a range of issues with the legal community and government officials. It also takes positions on legislation and files friend-of-the-court briefs on matters that impact the profession. 

Photo Galleries

Check out photos from recent NJSBA events.

View Photo Albums


The New Jersey Law Center is located at 1 Constitution Sq, New Brunswick, NJ, 08901. Need directions to the Law Center? Click on the button below to get started right away.

Contact NJSBA

NJSBA Contact Us Form
If you're looking for an attorney, click here for help.

If you cannot afford an attorney and have a civil matter, click here for Legal Services of New Jersey.

Looking for information about a specific lawyer? Contact the Lawyer’s Fund for Client Protection at 855-533-3863.

Have a complaint about a lawyer? Visit the Office of Attorney Ethics website. Select “Attorney Discipline” from the navigation bar for discipline of attorneys.

Contact Info

One Constitution Square
New Brunswick, NJ 08901

9 a.m. to 5 p.m., Monday - Friday

Fax 732-249-2815

Email us

Book Store

Authoritative. Comprehensive. The Industry Standard.

NJICLE legal treatises and books are written for New Jersey attorneys, by New Jersey attorneys. Our comprehensive library of books and treatises form the State’s most inclusive series of regionally focused legal materials. With titles covering virtually every aspect of New Jersey legislation, NJICLE is proud to be the professional development resource for the legal community.

You do not have permission to view this form.