As one of the most active state securities regulatory agencies, The Massachusetts Securities Division (MSD) is increasingly focused on its enforcement priorities. Join us for an in-depth look at MSD investigations and proceedings. Learn from Boston's best as to the finer points of practice in this active and complex arena.
Often in the forefront of developing issues, the Massachusetts Securities Division pursues wide-ranging and aggressive investigations and enforcement actions. This program’s speakers, who have been advocates in this active and complex arena, will explain the general statutory and regulatory framework governing Securities Division proceedings, and present an in-depth discussion of some of the finer points and nuances of practice before the Securities Division, covering investigations, adjudicatory proceedings and judicial review of Division decisions.
TOPICS WILL INCLUDE:
• The scope of the Division’s substantive jurisdiction
• The Division’s geographic reach
• Elements of the Massachusetts Uniform Securities Act’s anti-fraud provisions—“security,” “offer,” “sale,” “in connection with”
• Sanctions and remedies
• Scienter and willfulness
• Vicarious responsibility
• The Division’s subpoena power
• Document production and testimony
• Preliminary relief
• Motion practice in Division adjudicatory proceedings
• Discovery
• Hearing procedures and evidentiary rules
• Settlement
• Judicial review of Division decisions
• Parallel regulatory investigations, enforcement actions, and private litigation
Speakers:
John R. Snyder
Bingham McCutchen LLP
Frances S. Cohen
Massachusetts Office of the Attorney General
Christopher P. Litterio
Ruberto, Israel & Weiner, P.C.
James Douglass Vannah
Bingham McCutchen LLP
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
West LegalEdcenter will not provide accreditation for states not listed.
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