PLI Program – Securities Law and Practice 2017: How the SEC Works
Of Counsel Buddy Donohue (New York-Investment Funds) spoke at the PLI Program on “Securities Law and Practice 2017: How the SEC Works” on October 27, 2017 in New York. Buddy spoke on the following two panels:
- “Inside the SEC – How the SEC Works,” covered the different roles and responsibilities of the SEC’s operating divisions; what work is done in the SEC’s regional offices versus the SEC’s headquarters; and how the SEC’s enforcement program is structured.
- “The Special Role of the Securities Lawyer—Legal Ethics,” covered duties to disclose; reporting responsibilities; and attorney/client privilege.