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Advanced Compliance and Ethics Workshop 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: Advanced Compliance and Ethics Workshop 2015

Released on: Dec. 4, 2015

Please note that "ethics" in the program title refers to the “Compliance and Ethics Program” used in the Federal Sentencing Guidelines for Organizations. It does not specifically refer to legal ethics. Please check the credit calculator to the right for credit information for your jurisdiction. The need for companies to have effective compliance and ethics programs is greater now than ever before. This powerful imperative is due to: ...

Advanced Venture Capital 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: Advanced Venture Capital 2015

Released on: Dec. 11, 2015

This program provides an in-depth analysis of current market conditions and the changing legal environment, and is geared toward the experienced venture capital practitioner. Our expert faculty of lawyers, venture capitalists and business executives will analyze the legal and business issues relevant to navigating today’s evolving venture capital world. This program will also address the latest financing trends, current deal terms, exit strategies, ...

Antitrust Institute 2015: Developments & Hot Topics

On-Demand Web Programs  On-Demand Web Programs    

From the program: Antitrust Institute 2015: Developments & Hot Topics

Released on: May. 22, 2015

With an emphasis on new developments while providing a refresher of key principles, the Institute will examine current merger issues, price fixing, the legality of joint ventures and other competitor collaborations, "vertical" restraints on customers and suppliers, including resale price maintenance, standards for complying with price discrimination laws, and the latest information on the state and federal enforcement priorities. Also included in ...

Basics of Mutual Funds and Other Registered Investment Companies 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: Basics of Mutual Funds and Other Registered Investment Companies 2015

Released on: May. 14, 2015

This program is designed to provide you with a basic overview of the legal, regulatory and operational issues affecting “registered investment companies” – the universe of publicly offered pooled investment vehicles that include mutual funds, closed-end funds, exchange-traded funds (“ETFs”) and others.  You will learn the fundamentals of the extensive regulatory framework that dictates the structure and ...

Broker/Dealer Regulation and Enforcement 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: Broker/Dealer Regulation and Enforcement 2015

Released on: Nov. 17, 2015

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. New rules are continuously promulgated under the Dodd-Frank Act and have substantial implications for broker-dealers and the industry. At the same time, there is heightened enforcement of the federal securities laws. The SEC Division of Enforcement has established a new task force focused specifically on broker-dealers. FINRA is considering ...

Corporate Counsel Institute 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: Corporate Counsel Institute 2015

Released on: Oct. 20, 2015

The role of the corporate counsel continues to transform to meet new challenges in relation to an increasingly global economy, financial turmoil and continually changing new technologies.  It is essential for all corporate counsel to be informed of the latest developments and to possess effective, budget-conscious strategies for managing the legal and practical business matters of corporate law departments, while adding value to the enterprise. ...

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

On-Demand Web Programs  On-Demand Web Programs    

From the program: Crowdfunding and Online Direct Lending (Peer-to-Peer) 2015

Released on: Sep. 29, 2015

Recent market activity demonstrates that crowdfunding is now a bona fide alternative form of early and mid-stage corporate finance and can lead to exits in the M&A and capital markets arenas. In the face of this tremendous growth trajectory, the industry has divided into several categories, each with its own legal risks and challenges. Will this growth continue? Our expert faculty will discuss where we are now and where we may be headed. Lecture ...

Directors' Institute on Corporate Governance (Thirteenth Annual)

On-Demand Web Programs  On-Demand Web Programs    

From the program: Directors' Institute on Corporate Governance (Thirteenth Annual)

Released on: Nov. 25, 2015

In the past year, new expectations were being placed on boards in critical areas of governance, including disclosure, oversight of complex operational issues, risk management, board succession, audit committee oversight, executive compensation, and responsiveness to and communication with investors pressing different concerns. In addition, the Dodd-Frank Act, the Foreign Corrupt Practices Act and other anti-bribery laws have put new requirements on ...

Doing Deals 2015: The Art of M&A Transactional Practice

On-Demand Web Programs  On-Demand Web Programs    

From the program: Doing Deals 2015: The Art of M&A Transactional Practice

Released on: Mar. 25, 2015

The M&A market has returned to a period of increased activity, characterized by the reemergence of larger transactions.   In addition to large deals, the market has also seen a flurry of cross-border “inversion” transactions (which have been slowed by recent regulatory action), as well as spin-offs and a record number of activist campaigns. Continued high levels of M&A litigation is also giving rise to a flurry of decisions ...

ERISA Plans in the Financial Markets 2016

On-Demand Web Programs  On-Demand Web Programs    

From the program: ERISA Plans in the Financial Markets 2016

Released on: Feb. 8, 2016

ERISA plans are major investors in a constantly evolving financial marketplace.  Both financial firms designing and selling financial products and plans purchasing financial products need to understand the inner workings of the products in order to analyze them under ERISA and ensure compliance. This course provides an in depth look at the nuts and bolts of various financial instruments and investment vehicles and the ERISA issues that arise ...

Fundamentals of Broker-Dealer Regulation 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: Fundamentals of Broker-Dealer Regulation 2015

Released on: Jul. 8, 2015

Major changes in broker-dealer industry and regulatory framework continue as a result of the financial services crisis, the resulting regulatory reform and other trends and developments.  At the same time, FINRA’s rewrite of its Rulebook as part of its Rulebook Consolidation process is almost complete, and broker-dealers became subject to FINRA’s new supervision rules in December 2014.  Moreover, FINRA has recently initiated ...

Fundamentals of Investment Adviser Regulation 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: Fundamentals of Investment Adviser Regulation 2015

Released on: Jul. 29, 2015

Over the past few years, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.  The SEC has also set high expectations for advisers in identifying and responding to conflicts of interests. In this program, you will get a solid foundation in the regulatory regime applying to investment ...

Fundamentals of Swaps & Other Derivatives 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: Fundamentals of Swaps & Other Derivatives 2015

Released on: Oct. 23, 2015

Over-the-counter (OTC) derivatives are key elements in many of our financial markets.  The Dodd-Frank Act has changed and is continuing to change how these important instruments are regulated and transacted.  This program will introduce you to both the instruments and their new environment. A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference asset or entity between ...

Global Capital Markets & the U.S. Securities Laws 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: Global Capital Markets & the U.S. Securities Laws 2015

Released on: Jun. 12, 2015

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world.  At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation.  Issuers and market participants also face an increasingly active global enforcement environment ...

How to Prepare an Initial Public Offering 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: How to Prepare an Initial Public Offering 2015

Released on: Apr. 24, 2015

The IPO market is as hot as ever. Given the continued uptick in activity, this program is extremely timely.  In almost any market, however, understanding the IPO process is an essential skill for both legal and business advisors. Hear from an experienced faculty, including attorneys, an underwriter, and a member of the Securities and Exchange Commission staff, who will analyze the nuts and bolts of an initial public offering. The speakers will ...

New Developments in Securitization 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: New Developments in Securitization 2015

Released on: Dec. 17, 2015

As the securitization world continues to emerge from the financial crisis, it faces a continuing flow of new regulation.  Some asset-backed securities (ABS) markets, such as auto securitizations, collateralized loan obligations (CLOs), and commercial mortgage-backed securities (CMBS) are experiencing robust activity, with issuance volumes steadily rising.  Other markets such as residential mortgage-backed securities (RMBS) are slower ...

Pension Plan Investments 2015: Current Perspectives

On-Demand Web Programs  On-Demand Web Programs    

From the program: Pension Plan Investments 2015: Current Perspectives

Released on: Apr. 14, 2015

Experienced practitioners in the area of pension investment law, together with senior representatives of the Department of Labor, will give their perspectives, and illuminate issues, on current topics and recent developments. Continued statutory, regulatory and market changes ensure a full agenda of new developments to be debated and analyzed by the panelists. The Dodd-Frank financial reform legislation brought a new regulatory structure for pension ...

Private Placements and Hybrid Securities Offerings 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: Private Placements and Hybrid Securities Offerings 2015

Released on: Oct. 29, 2015

Our expert faculty of leading practitioners and regulators will discuss and analyze the changing regulatory framework and market for private offerings. We will address the changes to private and exempt offerings brought about by the JOBS Act, including matchmaking platforms, "accredited investor" crowdfunding, offerings using general solicitation, Rule 144A offerings, and the practical implications of these changes for issuers, broker-dealers ...

Real Estate M&A and REIT Transactions 2016

On-Demand Web Programs  On-Demand Web Programs    

From the program: Real Estate M&A and REIT Transactions 2016

Released on: Jan. 21, 2016

Over the past year, the REIT and commercial real estate industries have continued to experience strong M&A activity, with some sectors poised for large-scale consolidation even as new property types enter the REIT universe through spin-offs, conversions and IPOs. At the same time, high profile transactions involving non-traded REITs and the increasing presence of activist investors – and a number of high-profile governance changes – ...

Secured Transactions 2016: What Lawyers Need To Know About UCC Article 9

On-Demand Web Programs  On-Demand Web Programs    

From the program: Secured Transactions 2016: What Lawyers Need To Know About UCC Article 9

Released on: Jan. 19, 2016

Article 9 of the Uniform Commercial Code applies to secured transactions, which are interests in specific collateral granted by the debtor in conjunction with the debtor’s promise to pay. In Secured Transactions 2016: What Lawyers Need to Know About UCC Article 9, you will learn the fundamentals of acquiring a security interest, including how to attach, to perfect (filing and non-filing methods) and to gain (and maintain) priority in ...

Securities Products of Insurance Companies in the Course of Regulatory Reform 2016

On-Demand Web Programs  On-Demand Web Programs    

From the program: Securities Products of Insurance Companies 2016

Released on: Jan. 22, 2016

The insurance industry continues to navigate the legal environment and regulatory hurdles in meeting insurance and retirement needs facing Americans.  This timely program provides critical content on the prevailing and emerging legal issues practitioners must understand and insights into product development and asset management services offered by insurance company complexes. Our stellar faculty will provide you with a clear understanding of ...

Silicon Valley Corporate Law Update 2015: Start-Ups, Financings, IPOs, M&A

On-Demand Web Programs  On-Demand Web Programs    

From the program: Silicon Valley Corporate Law Update 2015: Start-Ups, Financings, IPOs, M&A

Released on: May. 27, 2015

Silicon Valley remains one of the most active deal markets and the center of the venture capital industry in the world today.  The broad array of fast-growing companies –  from start-ups to major public companies, and the constantly evolving industry sectors – has long attracted top legal, investor and investment banking talent, and produced a wide variety of transactions ranging from seed and venture capital financings to some ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2015

On-Demand Web Programs  On-Demand Web Programs    

From the program: The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2015

Released on: May. 19, 2015

The Foreign Corrupt Practices Act (“FCPA”) is at the top of most companies’ key risk areas. DOJ and SEC resources devoted to investigating violations and enforcing the law remain at an all-time high. Recent FCPA enforcement actions and disclosures demonstrate that no industry is immune from FCPA scrutiny, and FCPA sweep investigations across industry sectors are becoming more common and challenging. Beyond the FCPA, an increasing ...

Venture Capital 2015: Nuts and Bolts

On-Demand Web Programs  On-Demand Web Programs    

From the program: Venture Capital 2015: Nuts and Bolts

Released on: Apr. 23, 2015

A thorough understanding of current market practice, deal terms and conditions, transaction documents and applicable securities, regulatory and ethical issues is critical in the venture capital business. This program, designed for those seeking a secure foundation in the venture capital field, will teach you the essentials of venture capital. From examining the anatomy of a venture capital deal, to participating in a mock term sheet negotiation, to ...

White Collar Crime 2015: Prosecutors and Regulators Speak

On-Demand Web Programs  On-Demand Web Programs    

From the program: White Collar Crime 2015: Prosecutors and Regulators Speak

Released on: Oct. 9, 2015

In an increasingly global and coordinated fashion, the Department of Justice, the SEC, the CFTC, and other U.S. and foreign agencies are pressing forward with a white collar enforcement program of unprecedented scope and severity. With a spotlight on the financial services sector, the authorities are advancing novel theories and exacting increasingly draconian penalties. The government’s enforcement agenda is broad and complex, encompassing ...


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