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
Division’s geographic reach
• Elements of the Massachusetts Uniform
Securities Act’s anti-fraud provisions—“security,” “offer,” “sale,” “in
• Sanctions and remedies
• Scienter and
• Vicarious responsibility
• The Division’s subpoena
• Document production and testimony
• Motion practice in Division adjudicatory
• Hearing procedures and evidentiary
• Judicial review of Division
• Parallel regulatory investigations, enforcement actions, and
BBA Member -
Non-Member - $170.00
BBA Member - Legal Services/ Government
Lawyer - $70.00
Law Student - $30.00
If the cost of this seminar would preclude you from attending, please
contact us about tuition discounts.
Materials: It's so easy to
be green! The BBA offers
registrants CLE course materials in both electronic and print format.
Please remember to select your option during registration. If you opt for
the electronic version, a PDF link will be email to you prior to the seminar. We
encourage laptops and portable devices at the seminar, Free WiFi is available in
all conference rooms!