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Fundamentals of Investment Adviser Regulation 2014

On-Demand Web Programs  On-Demand Web Programs    

From the program: Fundamentals of Investment Adviser Regulation 2014

Released on: Jul. 30, 2014

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking and enforcement to impose a greater degree of controls on investment advisers’ operations. In fact, 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.In this ...

Securities Offerings 2015: A Public Offering: How it is Done

On-Demand Web Programs  On-Demand Web Programs    Web Segment  Web Segment    

From the program: Securities Offerings 2015: A Public Offering: How it is Done

Released on: Mar. 27, 2015

This course will provide a solid understanding of the legal framework for securities offerings under the Securities Act of 1933. Topics covered include the basics, such as definitions and regulations of “offers” and “sales” of “securities” and the distinctions between public and private offerings, including the need to register public offerings (and how that is done) and basic exemptions from registration.  ...

Understanding the Securities Laws 2013

On-Demand Web Programs  On-Demand Web Programs    

From the program: Understanding the Securities Laws 2013

Released on: Aug. 9, 2013

Whether you are new to the field or seeking a quick refresher or an update, this is a securities law primer that you won’t want to miss. This program provides an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act of 1933 and the Securities Exchange Act of 1934 and related SEC regulations, ...

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