Specialized Knowledge and Application

• Jun. 21, 2013 New York, NY

• Jun. 21, 2013 Mechanicsburg, PA
• Jun. 21, 2013 Pittsburgh, PA
• Jun. 21, 2013 Philadelphia, PA

As we continue to see many new regulations from the SEC, PCAOB and financial institution regulators, we also continue to see numerous challenges emerge for the audit committee. If you are a director or member of an audit committee, or if you advise audit committees, this program will help you understand what is required of the audit committee, and those who advise them, in this rapidly changing environment. You will hear from an expert faculty of ...

• Jun. 24, 2013 New York, NY

• Jun. 24, 2013 Boston, MA
• Jun. 24, 2013 Birmingham, AL
• Jun. 24, 2013 Philadelphia, PA
• Jun. 24, 2013 Mechanicsburg, PA
• Jun. 24, 2013 Pittsburgh, PA
• Jun. 24, 2013 New Brunswick, NJ

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform. At the same time, FINRA’s overhaul of its rulebook as part of its Rulebook Consolidation process is almost complete. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. ...

• Jun. 25, 2013 New York, NY

• Jun. 25, 2013 Atlanta, GA
• Jun. 25, 2013 Pittsburgh, PA
• Jun. 25, 2013 Cleveland, OH
• Jun. 25, 2013 Philadelphia, PA
• Jun. 25, 2013 Mechanicsburg, PA

Knowing how to conduct effective and efficient internal investigations is key to protecting your clients or company. Companies and their counsel need to be diligent and proactive in identifying risks and remedying potential issues. At this program, panels of experts from the private bar, in-house and the government use a real-world hypothetical fact pattern throughout the day to review the many considerations and issues that can and do arise from ...

• Jul. 8 - 9, 2013 New York, NY

• Jul. 8 - 9, 2013 Philadelphia, PA
• Jul. 8 - 9, 2013 Pittsburgh, PA
• Jul. 8 - 9, 2013 Mechanicsburg, PA
• Jul. 8 - 9, 2013 Boston, MA

Since the financial crisis a few years ago, private equity firms have been dealing with its aftermath, including increased regulatory and legislative scrutiny of their activities and the activities of their funds as well as difficult environments in which to raise new funds and to get deals done. Many firms were required to register as investment advisers with the SEC and a number of newly registered firms are now undergoing their first SEC audits. ...

• Jul. 15 - 16, 2013 Chicago, IL

This program focuses on critical issues of information privacy, security and data protection faced by all companies. The Internet and other evolving information technologies, wired and wireless, have prompted the development of powerful tools for the collection, processing, storage and use of personal information. These trends create numerous issues regarding limitations on corporate rights to use that information and obligations to protect it from ...

• Jul. 17, 2013 New York, NY

• Jul. 17, 2013 New Brunswick, NJ
• Jul. 17, 2013 Pittsburgh, PA
• Jul. 17, 2013 Birmingham, AL
• Jul. 17, 2013 Mechanicsburg, PA
• Jul. 17, 2013 Boston, MA
• Jul. 17, 2013 Philadelphia, PA

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking 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.At this program, attendees will ...

• Jul. 25 - 26, 2013 New York, NY

• Jul. 25 - 26, 2013 Boston, MA
• Jul. 25 - 26, 2013 Cleveland, OH
• Jul. 25 - 26, 2013 New Brunswick, NJ

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, ...

• Aug. 1, 2013 New York, NY

• Aug. 1, 2013 New Brunswick, NJ
• Aug. 1, 2013 Philadelphia, PA
• Aug. 1, 2013 Pittsburgh, PA
• Aug. 1, 2013 Mechanicsburg, PA
• Aug. 1, 2013 Cleveland, OH
• Aug. 1, 2013 Boston, MA

The continuing national discussion regarding the fairness of arbitration has influenced the forums management of the process. FINRA has focused not only on the compositions of arbitration panels but the definition of who is a “customer” and what is “suitable” in securities cases. In 2013 FINRA will continue its focus on employment disputes and expungement applications. This year’s Securities Arbitration program will ...

• Sep. 11, 2013 New York, NY

In the past year, new expectations have been placed on boards in critical areas of governance, including disclosure, oversight of complex operational issues, and responsiveness to and communication with investors pressing different concerns, such as short-term shareholder value, traditional governance issues and social responsibility. In addition, the Dodd-Frank Act, the Foreign Corrupt Practices Act, and other anti-bribery laws have put new requirements ...

• Sep. 12, 2013 New York, NY

• Sep. 12, 2013 Birmingham, AL
• Sep. 12, 2013 Columbus, OH
• Sep. 12, 2013 Boston, MA

In 2012, hedge funds and their managers faced their first year of operations under new regulations enacted under Dodd-Frank. New entrants to the hedge fund industry now had large barriers to entry; existing managers had to deal not only with new regulations but many were also forced to grapple with regulatory investigations and insider trading allegations. At the same time, hedge fund managers had to continue to deal with the day-to-day operational ...

• Sep. 16 - 17, 2013 New York, NY

• Sep. 16 - 17, 2013 New Brunswick, NJ

The American Taxpayer Relief Act of 2012 (the “2012 Tax Act”), which was enacted on January 2, 2013, made “permanent” many of the changes of the federal transfer tax system that were part of the Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act of 2010 and that were scheduled to expire at the end of 2012. In addition, the 2012 Tax Act made significant federal income tax changes. Further, President Obama’s budget for the government’s ...

• Sep. 17, 2013 São Paulo, BRA

Practising Law Institute, the leading not for profit continuing legal education provider, has offered PLI continuing legal education seminars in the United States since 1933, primarily in New York City, San Francisco, Chicago and Washington, D.C.We are now very pleased to announce our expansion into Latin American with Practising Law Institute's First Annual Institute on Current Developments in Latin American Cross-Border Securities Transactions 2013. ...

• Sep. 19, 2013 Washington, DC

Events in the past year have again increased the complexities of the Federal government marketplace. Not only do compliance and transparency burdens remain at a high level, budgetary pressures and the sequester have added a further dimension to the issues confronted by both government buyers and contractors. Growing pressures to squeeze more dollars out of the procurement process affect everything from the training given to government personnel, to ...

• Sep. 26 - 27, 2013 New York, NY
• Oct. 28 - 29, 2013 San Francisco, CA
• Nov. 14 - 15, 2013 Chicago, IL

• Sep. 26 - 27, 2013 Boston, MA
• Sep. 26 - 27, 2013 New Brunswick, NJ
• Sep. 26 - 27, 2013 Cleveland, OH

This popular program will analyze in detail the principal forms used for filings with the SEC under the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical drafting and disclosure tips. Ethics credit and recent legislation and SEC rule changes affecting disclosure ...

• Sep. 30. - Oct. 1, 2013 Washington, DC

Lobbying, campaign finance and ethics rules in Washington, and in every state, are changing, and new court cases are affecting lobbyists, corporations, associations, and unions.  Compliance with federal, state and local laws is more complex than ever. Congressional ethics rules, the Lobbying Disclosure Act (LDA), pay-to-play laws, as well as increasing pressure on corporations to disclose to shareholders their contributions and lobby expenditures, ...

• Sep. 30. - Oct. 1, 2013 Chicago, IL
• Oct. 28 - 29, 2013 New York, NY

• Oct. 28 - 29, 2013 Cleveland, OH
• Oct. 28 - 29, 2013 Boston, MA
• Oct. 28 - 29, 2013 Mechanicsburg, PA
• Oct. 28 - 29, 2013 Pittsburgh, PA
• Oct. 28 - 29, 2013 Philadelphia, PA

The year 2013 brings new risks and new opportunities for companies sourcing or providing critical services, including information technology, finance and accounting, human resources, facilities management, analytics and other critical non-core functions. There are new technologies, such as Big Data and cloud computing. There are new laws and regulations, and in more and more countries. Also, cloud computing and other innovations have created new issues ...

• Oct. 2, 2013 New York, NY

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

• Oct. 8, 2013 New York, NY

As the economy shifts and the legislature, SEC and shareholders respond, the design, implementation and disclosure of executive compensation undergoes continual change. At this program, experts in the area - from major corporations, the SEC, the IRS and shareholder activist groups, as well as from leading law, and consulting firms - will lead you through the emerging best practices and the current reactions to the changing landscape.

• Oct. 10 - 11, 2013 New York, NY
• Nov. 4 - 5, 2013 Chicago, IL

• Oct. 10 - 11, 2013 Boston, MA
• Oct. 10 - 11, 2013 New Brunswick, NJ
• Oct. 10 - 11, 2013 Philadelphia, PA
• Oct. 10 - 11, 2013 Cleveland, OH
• Oct. 10 - 11, 2013 Pittsburgh, PA
• Oct. 10 - 11, 2013 Mechanicsburg, PA

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 allied professionals. Litigators and transactional attorneys alike 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 universities.