Showing 26 - 50 of 230 Results

List View Table View

Bankruptcy & Reorganizations 2013: Current Developments

Handbook  Course Handbook

Course Handbook from the program Bankruptcy & Reorganizations 2013: Current Developments, held April, 2013.

Basics of Accounting for Lawyers 2013: What Every Practicing Lawyer Needs to Know

Handbook  Course Handbook

Course Handbook from the program Basics of Accounting for Lawyers 2013: What Every Practicing Lawyer Needs to Know, held May, 2013.

Basics of Accounting for Lawyers 2014: What Every Practicing Lawyer Needs to Know

Handbook  Course Handbook

Course Handbook from the program Basics of Accounting for Lawyers 2014: What Every Practicing Lawyer Needs to Know, held May, 2014.

Basics of Mutual Funds and Other Registered Investment Companies 2013

Handbook  Course Handbook

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2013, held April, 2013.

Basics of Mutual Funds and Other Registered Investment Companies 2014

Handbook  Course Handbook

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2014, held April, 2014.

Bolstering Your Company’s Fraud Defenses 2014: Proactive Prevention and Responses

Handbook  Course Handbook

Course Handbook from the program Bolstering Your Company’s Fraud Defenses 2014: Proactive Prevention and Responses, held November, 2014.

Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants

Handbook  Course Handbook

Course Handbook from the program Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants, held February, 2014.

Broker-Dealer Regulation

Treatise  Treatise

Published: November 2011
Last Updated: April 2014

Updated to include coverage of the significant FINRA and SEC responses to the economic downturn, the new second edition of Broker-Dealer Regulation provides you with a complete and practical understanding of the many requirements of this highly regulated area. This two-volume work ensures that you satisfy SEC/SRO standards governing your firm, with detailed coverage of: Registration reporting and record-keeping rules Suitability and best execution ...

Broker-Dealer Regulation and Enforcement 2013

Handbook  Course Handbook

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2013, held October, 2013.

Broker/Dealer Regulation and Enforcement 2014

Handbook  Course Handbook

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2014, held October, 2014.

Building Better Construction Contracts 2013

Handbook  Course Handbook

Course Handbook from the program Building Better Construction Contracts 2013, held September, 2013.

Building Better Construction Contracts 2014

Handbook  Course Handbook

Course Handbook from the program Building Better Construction Contracts 2014, held June, 2014.

Business Liability Insurance Answer Book 2014

Answer Book  Answer Book

Published: September 2013

Business Liability Insurance Answer Book 2014 contains answers to those common insurance issues that plague business owners and managers. Intended to be an easy reference guide that non-lawyers and business people could consult for use in risk management planning, Business Liability Insurance Answer Book 2014 addresses the most common forms of business liability insurance Being held personally liable for a business-related decision is the nightmare ...

Cloud Computing 2013: Cut Through the Fluff & Tackle the Critical Stuff

Handbook  Course Handbook

Course Handbook from the program Cloud Computing 2013: Cut Through the Fluff & Tackle the Critical Stuff, held May, 2013.

Cloud Computing 2014: Key Issues and Practical Guidance

Handbook  Course Handbook

Course Handbook from the program Cloud Computing 2014: Key Issues and Practical Guidance, held May, 2014.

Commercial Real Estate Financing 2014

Handbook  Course Handbook

Course Handbook from the program Commercial Real Estate Financing 2014, held February, 2014.

Conducting Due Diligence in a Securities Offering

Treatise  Treatise

Published: April 2009
Last Updated: August 2013

Today’s major financial scandals demonstrate what can happen when investigators fail to uncover illegal activity because they failed to do effective background searches.   PLI’s new Conducting Due Diligence in a Securities Offering provides you with clear, step-by-step legal and procedural information that helps ensure you to do a thorough investigation of a company’s records and its top managers — and reduce the potential for legal problems ...

Consumer Product Safety Regulation: Impact of the 2008 Amendments

Treatise  Treatise

Published: October 2008

PLI’s Consumer Product Safety Regulation gives you comprehensive, compliance-enabling insight into the 2008 Consumer Product Safety Improvement Act, the most dramatic overhaul of consumer product safety legislation since the 1970s.   Written by one of the country’s foremost experts in the field, Consumer Product Safety Regulation shows you how the 2008 amendments bring substantially lower lead limits for children’s products; ...

Coping With U.S. Export Controls 2013

Handbook  Course Handbook

Course Handbook from the program Coping With U.S. Export Controls 2013, held December, 2013.

Coping With U.S. Export Controls 2014

Handbook  Course Handbook

Course Handbook from the program Coping With U.S. Export Controls 2014, held December, 2014.

Corporate Compliance and Ethics Institute 2013

Handbook  Course Handbook

Course Handbook from the program Corporate Compliance and Ethics Institute 2013, held May, 2013.

Corporate Compliance and Ethics Institute 2014

Handbook  Course Handbook

Course Handbook from the program Corporate Compliance and Ethics Institute 2014, held May, 2014.

Corporate Compliance Answer Book 2014

Answer Book  Answer Book

Published: October 2013

Covering the full spectrum of heavily regulated industries and corporate activities in a convenient Q&A format, the Corporate Compliance Answer Book 2014 helps you develop, implement, and enforce compliance programs that detect and prevent wrongdoing. You’ll learn how to use risk assessment to pinpoint and reduce your company’s areas of legal exposure • apply gap analyses to detect and eliminate flaws in your compliance programs • conduct internal ...

Corporate Counsel Institute 2013

Handbook  Course Handbook

Course Handbook from the program Corporate Counsel Institute 2013, held October, 2013.

Corporate Counsel Institute 2014

Handbook  Course Handbook

Course Handbook from the program Corporate Counsel Institute 2014, held October, 2014.

Featured Faculty/Authors
George M. Wilson, MBA, CPA

George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI

Mina Park

Mina Park ~ Director, Banking and Capital Markets Origination Legal, Asia Pacific, Citi

Harvey I. Saferstein

Harvey I. Saferstein ~ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.