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401(k) Plan Fundamentals, Employer Securities in Qualified Plans, and Fiduciary Responsibility and Prohibited Transactions

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Recorded on: Aug. 13, 2013

Taken from the Web Program ERISA: The Evolving World 2013 Recorded August, 2013 in New York401(k) Plan Fundamentals, Employer Securities in Qualified Plans, and Fiduciary Responsibility and Prohibited Transactions [02:45:58] B. 401(k) Fundamentals Basic design features Special nondiscrimination rules Special distributuion rules C. Title IV - Defined Benefit Plans: Design Funding, the PBGC, Plan Terminations and Multiemployer Plans Basics ...

A. Default and Enforcement B. Bankruptcy C. How the Uniform Commercial Code Affects Your Business: Applying Articles 1, 8 and 9 to Non-Financing Transactions

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Recorded on: Jan. 16, 2014

Taken from the Web Program Secured Transactions 2014: What Lawyers Need to Know About UCC Article 9 Recorded January, 2014 in New YorkA. Default and Enforcement B. Bankruptcy C. How the Uniform Commercial Code Affects Your Business: Applying Articles 1, 8 and 9 to Non-Financing Transactions [01:41:04] A. Default and Enforcement Planning an exit strategy Has there been a default? Collecting deposit accounts Repossession and landlord waivers ...

A. The Relaxation of the Prohibition on General Solicitation B. Considerations for Broker-Dealers, Registered Investment Advisers and Other Financial Intermediaries

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Recorded on: Mar. 28, 2014

Taken from the Web Program Private Placements and Other Financing Alternatives 2014 Recorded March, 2014 in New YorkA. The Relaxation of the Prohibition on General Solicitation B. Considerations for Broker-Dealers, Registered Investment Advisers and Other Financial Intermediaries [01:46:59] A. The Relaxation of the Prohibition on General Solicitation The SEC’s final rule Investor verification Third-party providers of investor verification ...

A Detailed Examination of Financial Statements and Financial Ratios

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Recorded on: Mar. 26, 2014

Taken from the Web Program How to Read Financial Statements 2014 Recorded March, 2014 in New YorkA Detailed Examination of Financial Statements and Financial Ratios [01:48:44] A. Understanding Financial Statements Line item analysis of the Income Statement, Balance Statement and Cash Flow Statement Analysis of the interaction between financial statements Revenue recognition, lease accounting, and other significant accounting policies that ...

Advising Nonprofit Organizations 2014 -- Revenue Generating Activities by Tax Exempt Organizations

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From the program: Advising Nonprofit Organizations 2014

Recorded on: Feb. 13, 2014

Taken from the Web Program Advising Nonprofit Organizations 2014 recorded February, 2014 in New York.Lecture Topics  [01:38:30]Revenue Generating Activities by Tax Exempt Organizations  [01:38:30] Joint ventures Unrelated Business Income Tax issues Corporate sponsorships Active vs. passive revenue The purchase price of this segment includes the following article from the Course Handbook available online: Legal Considerations ...

Anatomy of the Balance Sheet

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Recorded on: Jul. 23, 2013

Taken from the Web Program Basics of Accounting for Lawyers 2013: What Every Practicing Lawyer Needs to Know Recorded July, 2013 in San FranciscoAnatomy of the Balance Sheet [01:45:37] The elements of a balance sheet - assets, liabilities and stockholders’ equity and their significance What to look for when reading a balance sheet Current assets, such as cash, receivables, inventories, investments in debt and equity securities, and fixed and ...

California Eviction Defense: Protecting Low-Income Tenants 2014 (Free) -- Eviction Process: Overview of the Basics and Affirmative Defenses in Unlawful Detainer Actions

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From the program: California Eviction Defense: Protecting Low-Income Tenants 2014 (Free)

Recorded on: Mar. 13, 2014

Taken from the Web Program California Eviction Defense: Protecting Low-Income Tenants 2014 recorded March, 2014 in San Francisco.Lecture Topics  [01:52:12]Eviction Process: Overview of the Basics and Affirmative Defenses in Unlawful Detainer Actions  [01:52:12]The summary nature of the unlawful detainer action makes these cases ideal for pro bono attorneys.  The day long training begins with an overview of state eviction proceedings ...

Commercial Leasing

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Recorded on: Nov. 6, 2013

Taken from the Web Program 15th Annual Commercial Real Estate Institute Recorded November, 2013 in San FranciscoCommercial Leasing [01:46:22] Landlord perspective and goals Tenant perspective and goals Types of lease forms, what’s negotiable? The rent components of a lease- Operating expenses- Tenant audits- Split incentives in green leases Who stands behind the landlord? What secures the tenant’s obligations? Tenant growth and exit strategies- ...

Communications Law in the Digital Age 2013 -- Reporters Privilege and Anonymous Speech

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From the program: Communications Law in the Digital Age 2013

Recorded on: Nov. 18, 2013

Taken from the Web Program Communications Law in the Digital Age 2013 Recorded November 2013 in New YorkLecture TopicReporters Privilege and Anonymous Speech [01:46:42] Are there lessons to learn from the AP subpoena and the Rosen search warrant? Where does the reporter’s privilege stand in the wake of the Government’s efforts to enforce its subpoena seeking Jim Risen’s confidential sources? Is there finally going to be a federal shield law ...

Consolidated Tax Return Regulations 2014 -- Investment Adjustments and Related Issues

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From the program: Consolidated Tax Return Regulations 2014

Recorded on: Feb. 26, 2014

Taken from the Web Program Consolidated Tax Return Regulations 2014 recorded February, 2014 in New York.Lecture Topics  [01:43:42]Investment Adjustments and Related Issues  [01:43:42]Overview of special adjustments to stock basis of subsidiary members of consolidated groups along with detailed examples of more complex situations, including: pitfalls related to excess loss accounts; earnings and profits tier-up rules; special basis and earnings ...

Delinquency & Accuracy-Related Penalties

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Recorded on: Mar. 11, 2014

Taken from the Web Program Nuts and Bolts of Tax Penalties 2014: A Primer on the Standards, Procedures and Defenses Relating to Civil and Criminal Tax Penalties Recorded March, 2014 in New YorkDelinquency & Accuracy-Related Penalties [02:00:38] A Day Late and a Dollar Short: Delinquency Penalties Failure to file Failure to pay Computation Procedure Defenses Are You Sure You Are Right? Accuracy-Related Penalties Negligence ...

Doing the Deal: M&A, Licensing and Other Patent Transactions

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Recorded on: Jul. 3, 2013

Taken from the Web Program Understanding Patent Law 2013 Recorded June, 2013 in New YorkDoing the Deal: M&A, Licensing and Other Patent Transactions [01:49:34] Issues that may arise in M&A transactions Acquiring patents from distressed companies and companies in bankruptcy Licensing overview, structure of patent licenses, and cross-licenses The purchase price of this segment includes the following article(s) from the Course Handbook ...

ERISA Fiduciary Investment Basics 2014 -- The Launch - Establishing a Plan Asset Fund

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From the program: ERISA Fiduciary Investment Basics 2014

Recorded on: Feb. 6, 2014

Taken from the Web Program ERISA Fiduciary Investment Basics 2014 recorded February, 2014 in New York.Lecture Topics  [01:44:44]The Launch - Establishing a Plan Asset Fund  [01:44:44] What is the structure of the fund? What does it mean to manage “plan assets” under ERISA and how do I know if my fund will be deemed to hold “plan assets”? Is the fund manager an ERISA fiduciary and, if so, what are the consequences? How does ERISA ...

Foreign Tax Credit & Subpart F Developments

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Recorded on: Feb. 4, 2014

Taken from the Web Program International Tax Issues 2014 Recorded January, 2014 in New YorkForeign Tax Credit & Subpart F Developments [01:44:40] Section 901 technical taxpayer regulations Section 909 splitter regulations Section 901(m) covered asset acquisitions Section 960(c) anti-hopscotch rule Compulsory tax issues Subpart F sales & services income Planning for potential territorial tax system The purchase price of this ...

How's Life in the Capital Markets?

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Recorded on: Nov. 11, 2013

Taken from the Web Program 45th Annual Institute on Securities Regulation Recorded November, 2013 in New YorkHow's Life in the Capital Markets? [01:47:59] Impacts of the JOBs Act, including developments with emerging growth companies and “testing the waters” Developments with IPOs, including IPOs of portfolio companies Capital raising in the private markets for public and private companies Challenges facing “private” companies with an expanding ...

Post AIA Section 102: The Complete Breakdown of 102 (a)-(d)

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Recorded on: Jul. 23, 2013

Taken from the Web Program Prior Art, Obviousness, and the America Invents Act in 2013 Recorded July, 2013 in San FranciscoPost AIA Section 102: The Complete Breakdown of 102 (a)-(d) [01:45:27] Defining novelty in our 1st to file system Patented, described in a publication, on-sale Public use and “otherwise” available “Effective” filing date (US, or anywhere?) Timelines – Is there a grace period? Prior filings and publications Disclosure ...

Securities Offerings 2014: A Public Offering: How It Is Done -- Working Effectively with the SEC: Preparing Your Registration Statement

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From the program: Securities Offerings 2014: A Public Offering: How It Is Done

Recorded on: Mar. 18, 2014

Taken from the Web Program Securities Offerings 2014: A Public Offering: How it is Done recorded March, 2014 in New York.Lecture Topics  [01:40:54]Working Effectively with the SEC: Preparing Your Registration Statement  [01:40:54] Preparation of the registration statement Discussion of registration process, including SEC review and comment process (including the public posting of those comments and processes for requesting confidential ...

Term Sheet Negotiation

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Recorded on: Mar. 6, 2014

Taken from the Web Program Venture Capital 2014: Nuts and Bolts Recorded February, 2014 in New YorkTerm Sheet Negotiation [01:45:27] Simulated negotiation of a Series A financing round How practice varies by region Insight into current market terms and ranges The purchase price of this segment includes the following article(s) from the Course Handbook available online: Enterprise, Inc.—A Hypothetical Venture Capital InvestmentCurtis L. Mo A ...

Understanding Financial Products 2014 -- Laying the Foundation - Financial Product Fundamentals

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From the program: Understanding Financial Products 2014

Recorded on: Jan. 9, 2014

Taken from the Web Program Understanding Financial Products 2014 recorded January, 2014 in New York.Lecture Topics  [01:45:24]Laying the Foundation - Financial Product Fundamentals  [01:45:24] Overview of the various financial products, their creation and use Changing landscape for financial products under Dodd-Frank Risk management in the current regulatory environment Public and private offerings of financial products Rule ...

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.