Financial Poise™ Announces “Securities Law Compliance,”…

Financial Poise™ Webinars and West LegalEdcenter are pleased to announce the on demand release of a new webinar “Securities Law Compliance,” designed to introduce attorneys and business owners to the basics of securities law compliance. Moderator Rafael Zahralddin-Aravena of Elliott Greenleaf joins panelists from firms including Duval & Stachenfeld, Downey Brand, The Brownstein Corp. and Sheppard Mullin to discuss a host of legal requirements and best practices related to corporate compliance.

Chicago, IL (PRWEB) June 15, 2017

This Financial Poise webinar series covers internal investigations related to

  • corporate and regulatory compliance,
  • corporate law compliance,
  • securities law compliance (with a focus on the Sarbanes-Oxley Act) and
  • executive compensation.

The episodes in this series examine these topics from a company’s perspective. The main focus is on the impact on a company’s day-to-day and long-term operations.

The 3rd episode of the “Inside Counsel Insider: Corporate & Regulatory Compliance 1.0 – 2017” series is available now on demand! “Securities Law Compliance” (Register Here) features Moderator Rafael Zahralddin-Aravena of Elliott Greenleaf. Rafael is joined by Lori Anne Czepiel of Duval & Stachenfeld, Bruce Dravis of Downey Brand LLP, Howard Brownstein of The Brownstein Corp. and Craig Mordock of Sheppard Mullin.

The Securities and Exchange Commission is entrusted with a significant corporate compliance regulatory function. Seminal legislation — such as the Sarbanes-Oxley (“SOX”) and Dodd-Frank Acts — expanded this in the recent past.

This webinar discusses board fiduciary duties. Panelists explore the tension between state corporate law standards and federal law.

Board composition, independence, structure and processes (including committee best practices) are analyzed. Director independence and audit committees are specifically discussed — including related requirements, regulations and exemptions.

Similarly, the NASDAQ and the NYSE requirements for director independence are discussed. Panelists cover disclosure matters related to SOX compliance. This involves timing and content of an issuer’s periodic disclosures.

This episode examines the legal requirements and best practices related to disclosure procedures and internal controls under SOX. The discussion involves the means of controlling costs of SOX (especially for smaller public companies). Also included: trends in the industry related to high regulatory compliance costs. Finally, applicability and best practices for privately held companies and SOX are covered, as well.

Each episode is delivered in Plain English understandable to business owners and executives without a background in these areas. Yet, it is proven to be valuable to seasoned professionals. Each episode in the series brings you into engaging (and sometimes humorous) conversations.

Every Financial Poise webinar is designed to entertain as it teaches. Moreover, every Financial Poise episode in a series is designed to be viewed independently of the other episodes. Participants will enhance their knowledge of this area whether they attend one, some or every episode.


Financial Poise™ ( provides unbiased news, continuing education and intelligence to private business owners, executives and investors. For more information contact Jennifer Storch at jstorch(at)financialpoise(dot)com or 312-469-0135.

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