October 19, 2021
BLB&G partner Jim Harrod will serve as a panelist at the Practising Law Institute (PLI) program, Securities Offerings 2021: A Public Offering from Start to Finish. This program simulates a public offering from start to finish: from the initial kickoff meeting, to understanding how the law translates into the mechanics of doing an offering, to working with the SEC and applicable stock exchange, to the closing dinner. The “how to do it” approach includes the preparation of registration statements, the SEC review and comment process, stock exchange listing and pricing mechanics.
Jim will speak on the panel Ethics, Due Diligence and the Offering Process that will discuss the following:
- Professional liability provisions and remedies under the Securities Act
- Importance of ethics in due diligence in the offering process, including comfort letters, 10b-5 statements and in-house counsel considerations
- Role of participants in the offering process, including avoiding ethical pitfalls
- Ethical issues in the underwriting process: Lawyers as gatekeepers