Program Details

The Massachusetts Securities Division: Effective Investigation and Litigation Advocacy

Content Partner:  Boston Bar Association
Price: $155.00*
Member Price:  $125.00
This program is no longer available.

* Applicable Membership or Subscription discounts will be added in your shopping cart

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.
• 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
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

Practice Areas: Corporate & Securities, White Collar Crime & Criminal Investigations
Online Media Type: Video
Production Date: 05/21/2014 4:00 PM EDT
Level: Basic
Category: Standard
Duration: 3 Hours, 0 Minutes
Online Format: Live

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Purchase of this product provides online access for 180 days. If you are purchasing a live webcast, you will receive complimentary access to the on demand version for 180 days once it becomes available. Please note that the on demand and podcast versions may, or may not be accredited in your state.

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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Total Credits: 2.75
Specialty Credits: 
Status: Reciprocal Credit Available
Expiration: N/A
Training Type: Live Webcast

West LegalEdcenter provides accreditation as described here. You may be able to self apply for credits in states not listed.

Check your state requirements and get contact information.
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
This product is designed to provide information in regard to the subject matter covered. It is sold with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional service. If legal advice or other expert assistance is required, the services of a competent professional person should be sought.

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