Navigating the SEC's Wells Process

Holland & Knight Webinar
Webinar, CLE Available
Person typing on laptop
November 16, 2023
1:00 PM - 2:00 PM ET

Please join Holland & Knight's Securities Enforcement Defense Team and HK Women in White Collar for a 60-minute CLE training session led by attorneys Jessica Magee, Allison Kernisky and Madeline Tansey. This webinar will examine the critical issues to consider when a Wells notice is received in a U.S. Securities and Exchange Commission (SEC) investigation, including:

  • steps to take before a notice is issued
  • Dodd-Frank deadlines triggered by Wells notices
  • risks and opportunities of making a Wells submission
  • preparing strong submissions and the SEC's vetting process
  • considerations and consequences of Wells submissions in parallel investigations and private litigation

We hope you can join us for this highly informative presentation.

About HK Women in White Collar: HK Women in White Collar is a working group of female attorneys who are members of the firm's White Collar Defense and Investigations Team and Securities Enforcement Defense Team. They are committed to working on white collar defense matters, including internal investigations, and provide regular education and training courses for all attorneys and clients.

Continuing Legal Education (CLE)

Holland & Knight will apply for CLE credit based on attendee requests. Some programs may not be awarded CLE credits because of content or jurisdictional restrictions. CLE accreditation is sought after the completion of the program, and the approval process can be lengthy in some jurisdictions. Holland & Knight is an approved CLE provider in several jurisdictions, including California, Georgia, Illinois, New York, Pennsylvania and Texas. For New York attorneys, this program's format qualifies for CLE for transitional (newly admitted) and experienced attorneys.

Continuing Professional Education (CPE)

Please note: Certificates of attendance will be provided upon request for attendees to self-apply for CPE credit.

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