Share this event with friends and colleagues

Please Note: This event has already taken place.

CLE - The Massachusetts Securities Division: Effective Investigation and Litigation Advocacy

Wednesday, May 21, 2014 4:00 PM to 7:00 PM
Boston Bar Association - 16 Beacon Street, Boston, MA

Register for WEBCAST
*Additional fees may apply for online viewing of programs via West LegalEd. BBA Members may be eligible for a discount.


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

Registration Categories:

BBA Member - $130.00
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!

Sponsoring Section/Committee(s):


  • John R. Snyder
    • Potomac Law Group
  • Frances S. Cohen
    • U.S. Department of Justice Civil Rights Division
  • Christopher P. Litterio
    • UFP Technologies, Inc.
  • Jim Adelman
    • Commonwealth Financial Network



Jacqueline Querubin


BBA Event Calendar