The National Securities Market Improvement Act of 1996 ("NSMIA") diminished the authority of state securities regulators in some limited circumstances; however, the states continue to exercise broad regulatory authority in the securities industry and recently have been pushing to expand their authority and roll back NSMIA's preemptions. The states' "Blue Sky" requirements continue to affect nearly every transaction in securities. All corporate lawyers need to understand the basics of state securities regulation and need to know when and where to turn for further assistance.
Join Dorsey attorneys Bruce MacKenzie and Erik Nelson for a clear and concise review of state securities regulation and how it may impact your clients.
CLE
We will apply for MN CLE credit for this program. Dorsey & Whitney LLP is an Accredited Provider of CLE in CA and NY and this program will be accredited for CLE in those states. We may apply in other states based on attendance.