There have been several recent developments in the case law under Uniform Commercial Code (UCC) Articles 8 and 9 relating to investment securities. In this practical webinar, you will discuss these developments and learn the key provisions of the Hague Securities Convention, as well as how to apply them in practice.

Upon course completion, you will be able to:

  • Discuss the issues that the Hague Securities Convention addresses
  • Explain which transactions are covered by the Convention
  • Provide an overview of how choice-of-law provisions of the Convention operate
  • Apply the best practices for documentation and due diligence under the Convention
  • Address the issues that have arisen under UCC Articles 8 and 9 relating to investment securities in recent case law
Faculty Member
Sandra Rocks
Cleary Gottlieb Steen & Hamilton LLP

Sandra Rocks is based in the New York office of Cleary Gottlieb Steen & Hamilton LLP. She advises on commercial and insolvency law in the context of financial market transactions, representing major financial industry participants and utilities. She is currently the American Law Institute representative on the ALI-ULC Study Committee on Emerging Technologies and the UCC and the American Bar Association Advisor. She serves on the Board of Directors of the Commercial Law Amicus Initiative and is a recipient of the American College of Commercial Financial Lawyers’ Homer Kripke Achievement Award. Ms. Rocks received her J.D. degree from Columbia University Law School and undergraduate degree from Susquehanna University.

Faculty Member
Carl Bjerre
University of Oregon School of Law

Carl S. Bjerre is the Kaapcke Professor of Business Law at the University of Oregon School of Law. He teaches in the fields of investment securities and secured transactions, and has long been active in national and international projects to modernize commercial law. He is the General Editor of the Hawkland’s Uniform Commercial Code Series, published by Thomson Reuters.

Faculty Member
Edwin E. Smith
Morgan Lewis & Bockius LLP

Edwin E. Smith is a partner at Morgan Lewis & Bockius LLP. Mr. Smith’s primary practice is in general commercial and insolvency law. As a Uniform Law Commissioner for the Commonwealth of Massachusetts, Mr. Smith was as a member of the drafting committees for the 1999 revisions of Article 9 of the UCC. Mr. Smith was also past Chair of the Uniform Commercial Code Committee of the Business Law Section of the American Bar Association. Mr. Smith regularly presents on secured transactions and the UCC. He is a graduate of Yale University and Harvard Law School.

CLE Credits (Law)

Credit Value Type Format
NALA - - Credit not available
NFPA - - Credit not available
AL 1.5 General
On-Demand/Recording
AK 1.5 General
On-Demand/Recording
AR Not Available General
On-Demand/Recording
AZ 1.5 General
On-Demand/Recording
CA 1.5 General
On-Demand/Recording
CO 1.8 General
On-Demand/Recording
CT 1.5 General
On-Demand/Recording
DE 1.5 General
On-Demand/Recording
FL 2 General
On-Demand/Recording
GA 1.5 General
On-Demand/Recording
HI 1.5 General
On-Demand/Recording
IA 1.5 General
On-Demand/Recording
ID 1.5 General
On-Demand/Recording
IL 1.5 General
On-Demand/Recording
IN 1.5 General
On-Demand/Recording
KS Not Available General
On-Demand/Recording
KY 1.5 General
On-Demand/Recording
LA 1.5 General
On-Demand/Recording
ME 1.5 General
On-Demand/Recording
MN 1.5 General
On-Demand/Recording
MO 1.8 General
On-Demand/Recording
MS Not Available General
On-Demand/Recording
MT 1.5 General
On-Demand/Recording
NC 1.5 General
On-Demand/Recording
ND 1.5 General
On-Demand/Recording
NE 1.5 General
On-Demand/Recording
NH 1.5 General
On-Demand/Recording
NJ 1.8 General
On-Demand/Recording
NM 1.5 General
On-Demand/Recording
NV 1.5 General
On-Demand/Recording
NY 1.5 General
On-Demand/Recording
OH 1.5 General
On-Demand/Recording
OK 2 General
On-Demand/Recording
OR 1.5 General
On-Demand/Recording
PA 1.5 General
On-Demand/Recording
RI 1.5 General
On-Demand/Recording
SC Not Available General
On-Demand/Recording
TN 1.5 General
On-Demand/Recording
TX 1.5 General
On-Demand/Recording
UT 1.5 General
On-Demand/Recording
VA Not Available General
On-Demand/Recording
VT 1.5 General
On-Demand/Recording
WA 1.5 Law and Legal Procedure
On-Demand/Recording
WI 1.5 General
On-Demand/Recording
WV 1.8 General
On-Demand/Recording
WY 1.5 General
On-Demand/Recording

In some CLE states, the course will be submitted to the bar after you register. If for any reason the course is not approved, we will fully refund your registration fee. If a state is listed on this course, then we are confident the course fits that state's standards and already is or will be approved for credit.

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What is a webinar?

A webinar is simply a seminar that you attend online. You either watch a live video feed of the speaker or listen to the speaker through your computer, tablet or phone’s audio.  You see the speaker’s slides, videos, and other presentation materials on your screen.

Can I ask questions during the webinar?

Yes. During the live webinar, you may submit questions and comments and the speaker will respond verbally. For a recorded webinar, your questions will be emailed to the speaker. You will typically receive a response from the speaker within two business days.

Can I attend using a tablet or smartphone?

Yes. You may attend a webinar using a computer, tablet or smartphone.

If I can’t attend a webinar live, can I view the recording later?

Yes. Shortly after each live program ends, we send all webinar registrants a link to the webinar recording. You can view the recording as many times as you like after the live webinar for up to 12 months.

What is an on-demand webinar?

An on-demand webinar is a previously recorded webinar that you may view at any time after your purchase for up to 12 months.

Can I stop a recorded webinar and start it later at the same point?

You can stop a recording and later log back in and navigate to any point in the webinar. The system will not force you to view the entire recording from start to finish.

Can I listen to recorded webinars on a tablet or smartphone?

Yes. You will be able to listen to any of our on-demand webinars on your computer, tablet, or smartphone.

Do the webinars qualify for Continuing Education Credit?

Almost all of our webinars are approved for continuing education credit, including CLE (in all states), CCB, CPE, HRCI, IRS and SHRM credit.  Unlike many providers, we don’t charge you any additional fee to process your credit.  If you have specific questions, please call us at 703-372-0550 or contact us.

Can I still receive Continuing Education Credits if I view the webinar recording instead of the live presentation?

In most cases, the answer is yes. Recorded webinars are not eligible for CLE credit in the following states: AR, KS, MS, NE, and RI. In all other jurisdictions, recorded programs are eligible for credit. In addition, CPE credit is not available for recorded webinars. Please note that recorded webinars are only eligible for a certain period of time based on the jurisdiction. To ask about your specific type of Continuing Education Credit or the requirements in your jurisdiction, please call us at 703-372-0550 or contact us.

Will I receive a certificate of completion after the course?

Yes. A certificate of completion will automatically be uploaded to your Clear Law Institute account after completing the live or on-demand webinar.

Do I need to be a member to receive a certificate of completion?

No. An account will automatically be created for you when registering for a webinar. You will then be able to access your certificate of completion after completing a webinar.

How do I determine my states’s CLE requirements.

Please find your state listed here with instructions for calculating the number of credits in your state.

How will I submit my attendance to receive CLE credit in my state?

Please find your state listed here with instructions for confirming your CLE attendance.

How does the money-back guarantee work?

Clear Law Institute stands behind all of its courses with a no-risk, money-back guarantee. If you are not satisfied with the quality of a webinar, we will fully refund your money—no questions asked. If you purchase an annual all-access membership, you can cancel within 14 days for a full refund.

$199
per person