Narrow Your Results

Showing 26 - 50 of 191 Results

List View Table View

Basics of Mutual Funds and Other Registered Investment Companies 2016

Handbook  Course Handbook

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2016, held April, 2016.

Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants

Handbook  Course Handbook

Course Handbook from the program Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants, held February, 2015.

Broker-Dealer Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants

Handbook  Course Handbook

Course Handbook from the program Broker-Dealer Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants, held February, 2016.

Broker-Dealer Regulation

Treatise  Treatise

Published: November 2011
Last Updated: September 2015

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 2015

Handbook  Course Handbook

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2015, held November 2015.

Business Liability Insurance Answer Book 2015

Answer Book  Answer Book

Published: August 2014

Being held personally liable for a businessrelated decision is the nightmare of every company manager, officer and director. As a result of the recent economic downturn, the number of cases being brought against businesses and the people who run them has surged. Business Liability Insurance Answer Book 2015 provides a concise roadmap to the kinds of issues being litigated, and the types of liability insurance available to protect against suit and ...

Cloud Computing 2015: Key Issues and Practical Guidance

Handbook  Course Handbook

Course Handbook from the program Cloud Computing 2015: Key Issues and Practical Guidance, held May, 2015.

Cloud Computing 2016: Key Issues and Practical Guidance

Handbook  Course Handbook

Course Handbook from the program Cloud Computing 2016:  Key Issues and Practical Guidance, held June, 2016.

Conducting Due Diligence in a Securities Offering

Treatise  Treatise

Published: April 2009

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 ...

Coping With U.S. Export Controls 2016

Handbook  Course Handbook

Course Handbook from the program Coping With U.S. Export Controls 2016, held December, 2016.

Coping with U.S. Export Controls and Sanctions 2015

Handbook  Course Handbook

Course Handbook from the program Coping with U.S. Export Controls and Sanctions 2015, held December, 2015.

Corporate Compliance and Ethics Institute 2015

Handbook  Course Handbook

Course Handbook from the program Corporate Compliance and Ethics Institute 2015, held May, 2015.

Corporate Compliance and Ethics Institute 2016

Handbook  Course Handbook

Course Handbook from the program Corporate Compliance and Ethics Institute 2016, held May, 2016.

Corporate Compliance Answer Book 2016

Answer Book  Answer Book

Published: July 2015

Representing the combined work of more than forty leading compliance attorneys, Corporate Compliance Answer Book 2016 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 analysis to detect and eliminate flaws in your compliance program Conduct internal investigations ...

Corporate Counsel Institute 2015

Handbook  Course Handbook

Course Handbook from the program Corporate Counsel Institute 2015, held October, 2015.

Corporate Counsel Institute 2016

Handbook  Course Handbook

Course Handbook from the program Corporate Counsel Institute 2016, held October, 2016.

Corporate Governance - A Master Class 2015

Handbook  Course Handbook

Course Handbook from the program Corporate Governance - A Master Class 2015, held  February 2015.

Corporate Governance - A Master Class 2016

Handbook  Course Handbook

Course Handbook from the program Corporate Governance - A Master Class 2016, held February, 2016.

Corporate Political Activities 2015: Complying with Campaign Finance, Lobbying and Ethics Laws

Handbook  Course Handbook

Course Handbook from the program Corporate Political Activities 2015: Complying with Campaign Finance, Lobbying and Ethics, held September, 2015.

Corporate Political Activities 2016: Complying With Campaign Finance, Lobbying and Ethics Laws

Handbook  Course Handbook

Course Handbook from the program Corporate Political Activities 2016: Complying With Campaign Finance, Lobbying and Ethics Laws, held September, 2016.

Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era

Treatise  Treatise

Published: September 2011
Last Updated: September 2015

“This is a title that really needs to be on the shelf of every legal and business library.” – Deborah l. Rusin, Reference Librarian, Latham & Watkins LLP, in Legal Information Alert The number of whistleblower/employee retaliation lawsuits has been increasing in recent years, and these lawsuits have been the subject of an increasing number of appellate court decisions. The second edition of Corporate Whistleblowing in the ...

Crowdfunding and Online Direct Lending (Peer-to-Peer) 2015

Handbook  Course Handbook

Course Handbook from the program Crowdfunding and Online Direct Lending (Peer-to-Peer) 2015, held September 2015.

Cybersecurity 2015: Managing the Risk

Handbook  Course Handbook

Course Handbook from the program Cybersecurity 2015: Managing the Risk, held September, 2015.

Cybersecurity: A Practical Guide to the Law of Cyber Risk

Treatise  Treatise

Published: August 2015

PLI’s new Cybersecurity: A Practical Guide to the Law of Cyber Risk, , provides the practical steps that can be taken to help your clients understand and mitigate today’s cyber risk and to build the most resilient response capabilities possible.  Cybersecurity: A Practical Guide to the Law of Cyber Risk provides a comprehensive discussion of the complex quilt of federal and state statutes, Executive Orders, regulations, contractual ...

Delaware Law Developments 2015: What All Business Lawyers Need to Know

Handbook  Course Handbook

Course Handbook from the program Delaware Law Developments 2015: What All Business Lawyers Need to Know, held May, 2015.


  • FOLLOW PLI:
  • facebook
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2016 Practising Law Institute. Continuing Legal Education since 1933.