Stock Market Basics for Lawyers and Legal Professionals

Category: On Demand

Member Price: $188

Non-Member Price: $235

Product Code: ON104222

Areas of Law: Business

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
$12.00 fee – separate check payable to NJICLE must be submitted at the end of the program



Logan S. Fisher, Esq.
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


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