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Capital-Raising Using Regulation A+

One-Hour Briefing  One-Hour Briefing

On March 25, 2015, the U.S. Securities and Exchange Commission unanimously adopted final rules, which will be effective this summer, that amend Regulation A.  Regulation A+ will provide an important capital-raising alternative for private companies in the United States and Canada.  A Regulation A+ offering may be used in connection with a primary offering of newly issued shares by a company or to resell securities held by existing stockholders.  ...

Treatment of Commercial End-Users of Swaps

One-Hour Briefing  One-Hour Briefing

This briefing will review the status and responsibilities of commercial end users of swaps under Title VII of Dodd-Frank and the regulations thereunder.  In analyzing the impact of Title VII on commercial end users, we will review the ways in which the regulators have distinguished between commercial end-users and other types of swap market participants, including with respect to clearing, swap execution, margin, reporting and recordkeeping requirements.   Please ...

Venture Capital 2015: Nuts and Bolts

Seminar  Seminar

Why You Should Attend 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 ...

Life Sciences Acquisitions and Divestitures: Special Considerations

One-Hour Briefing  One-Hour Briefing

Whether you are acquiring a company or its assets or divesting a portion of your business, if you are involved in mergers and acquisitions relating to  pharmaceutical products, biologics, medical devices, diagnostics or similar assets, it is important to understand the products, their regulatory environment, the intellectual property landscape, the supply chain and other market factors.  These deals often involve a high degree of complexity ...

How to Prepare an Initial Public Offering 2015

Seminar  Seminar

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 ...

Tips from the Trenches to Make You an Effective Negotiator

One-Hour Briefing  One-Hour Briefing

A lawyer's ability to negotiate is in many ways the most important skill a lawyer can have.  In this one hour session, lawyer, author and frequent speaker on negotiating skills Mark Grossman of Tannenbaum Helpern Syracuse & Hirschtritt LLP will give you the benefit of what he learned in his 30 plus years as a negotiator.  Among the many things that Mark will discuss:  Handling bullies  How to handle negotiating ...

Basics of the U.S. Foreign Corrupt Practices Act (FCPA) 2015

One-Hour Briefing  One-Hour Briefing

Within the last decade, Foreign Corrupt Practices Act (FCPA) enforcement has become a juggernaut of U.S. enforcement agencies.  The U.S. authorities that enforce the statute, the U.S. Department of Justice (DOJ) and the U.S. Securities and Exchange Commission (SEC), brought five enforcements actions, combined, in 2004.  Over the following decade the SEC and DOJ brought hundreds of enforcement actions and collected billions from corporations ...

Financial Services Conflicts of Interest & Fiduciary Duties 2015: Navigating the Emerging Regulatory Maze

Seminar  Seminar

Why You Should Attend The SEC and DOL continue to consider rulemaking that could dramatically change the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisors and service providers in the retirement marketplace. Likewise, commodity trading and municipal advisors have to be mindful of fiduciary obligations that apply to their activity. At the same time, regulators are pressing firms to identify and address ...

Sponsor's Obligations in an LBO in the Post-Crises Era: Equity Commitment Letters and Limited Guarantees

One-Hour Briefing  One-Hour Briefing

In the context of private equity M&A transactions, how do private equity sponsors balance the competing concerns of insulating the investment fund from potential liability from the transaction and providing the seller with assurances that a deep pocket is standing behind the buyer’s obligations under the purchase agreement?  This One-Hour Briefing will explore how parties seeks to bridge this gap in the wake of the crises and sponsors ...

Securities Litigation 2015: From Investigation to Trial

Seminar  Seminar

Why You Should Attend The landscape of securities litigation is constantly evolving and changing. This program takes you through all the issues that can arise in the most complex securities matters — from the initial government investigation to the filing of the civil cases to either settlement or trial. If you practice in this dynamic field, you know that the need to stay current and develop new strategies and tactics has never been more ...

Unmanned Aircraft Systems: The Changing Legal Landscape

One-Hour Briefing  One-Hour Briefing

Hobbyists, businesses, law enforcement, and the military are embracing the widespread use of unmanned aircraft systems, yet national civil aviation authorities and State/local governments are struggling to keep pace with clear rules of the skies.  Business and research applications for “drones” are poised to take off, literally, but what will be the consequences for your business, privacy, safety, and security?   Some estimate ...

Enforcement 2015: Perspectives from Government Agencies

Seminar  Seminar

Why You Should Attend We continue to see unprecedented enforcement efforts by government and regulatory agencies. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney’s Office, U.S. Department of the Treasury, U.S. Department ...

Acquiring or Selling the Privately Held Company 2015

Seminar  Seminar

Why You Should Attend At this perennial favorite, our experienced faculty will walk you through all of the steps associated with acquiring and selling a privately held company, whether it is a large independent corporation, a division or subsidiary of a large public company, or a smaller venture capital-backed or family-owned entrepreneurial enterprise. You will learn about the special issues that apply when a private equity firm is the buyer or ...

Credit Rating Regulation from AAA to Z

One-Hour Briefing  One-Hour Briefing

Some have said that more than any other single factor, overly optimistic credit ratings triggered the financial crisis of 2008 and the “Great Recession.”  Yet with limited exceptions, credit rating agencies flew largely under the regulatory radar screen before that.   During this program, Robert Harris, currently a consultant to the Credit Rating Agency Constituent Group of the Financial Information Services Association ...

Basics of Mutual Funds and Other Registered Investment Companies 2015

Seminar  Seminar

This program is designed to provide attendees 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.  Attendees will learn the fundamentals of the extensive regulatory framework that ...

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

Seminar  Seminar

Why You Should Attend 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 ...

Corporate Compliance and Ethics Institute 2015

Seminar  Seminar

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.Why You Should Attend Organizations face enormous legal and compliance risks, and the need for effective compliance and ethics programs to help ...

Leveraged Financing 2015

Seminar  Seminar

Why You Should Attend At this conference, the country’s leading experts in leveraged finance will examine key concepts and strategies in serving leveraged companies, including portfolio companies of private equity firms. You will learn about the leveraged finance marketplace today, including new deal activity, continuing refinancing needs, evolving trends in leveraged finance, funding sources and product offerings, current covenant approaches, ...

Pocket MBA Summer 2015: Finance for Lawyers and Other Professionals

Seminar  Seminar

Why You Should Attend The ability to identify and appropriately use financial and accounting information is relevant to a wide range of legal and regulatory matters for attorneys and other professionals. Transactional and litigation attorneys will benefit from this practical course designed specifically for non-accountants and taught by members of the nation’s top accounting, tax and advisory firms, leading law firms, in-house counsel and ...

Antitrust Institute 2015: Developments & Hot Topics

Seminar  Seminar

Why You Should Attend 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. ...

Cloud Computing 2015: Key Issues and Practical Guidance

Seminar  Seminar

Why You Should Attend Corporations, government organizations and millions of consumers are shifting massive quantities of data and their software applications to cloud computing facilities. Cloud computing uses the Internet to give every size organization access to large, dynamically scalable resources (data storage, software applications and computing power). “The Cloud” allows users, at all levels, to avoid large capital outlays for ...

Illinois MCLE Marathon 2015

Seminar  Seminar

Why You Should Attend PLI’s Illinois MCLE Marathon 2015 is designed to help attorneys practicing in Illinois meet their MCLE requirements, as they learn best practices and new and emerging legal issues. What You Will Learn At this engaging and instructive program, expert faculty will discuss and analyze current and emerging issues and new developments in: Professionalism and Legal Ethics: The Illinois Rules of Professional Conduct; ...

Institute on Corporate & Securities Law in Hong Kong 2015 (Third Annual)

Seminar  Seminar

Why You Should Attend   Our Third Annual Institute on Corporate & Securities Law in Hong Kong 2015 will feature a faculty composed of the leading legal and business practitioners active in the Asian, U.S. and U.K. corporate and securities law fields, as well as key government regulators, prominent investment bank professionals and distinguished general counsel who will provide timely, practical guidance on the most critical issues ...

New Jersey Basic CLE Marathon 2015

Seminar  Seminar

This program contains 4 NJ Newly Admitted categories for 7.5 hours. They are 3 credits of New Jersey Civil or Criminal Trial Preparation (NA3), 1.5 credits of New Jersey Basic Estate Planning (NA2), 1.5 credits of New Jersey Family Law Practice (NA4), and 1.5 credits of New Jersey Law Office Management (NA9). This program, in conjunction with , fulfills the  of 15 credits in 5 of 9 Newly Admitted Subject Areas. Satisfy ...

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

Seminar  Seminar

Why You Should Attend 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 ...

Featured Faculty/Authors
Jae  Kim

Jae Kim ~ Senior Vice President and General Counsel, Rambus Inc.

Lori A. Richards

Lori A. Richards ~ Chief Compliance Officer, Asset Management Unit, JP Morgan & Co

Edwin E. Smith

Edwin E. Smith ~ Morgan Lewis & Bockius LLP