Corporate & Securities - Compliance

PLI offers in-depth programs, topical briefings, and various publications in the area of Corporate & Securities - Compliance. Explore our offerings below to select those most relevant to your practice.

See detailed information on:

Seminars
Webcasts
On-Demand Learning

Broker/Dealer Regulation and Enforcement 2013	Oct. 23, 2013 New York, NY
Advanced Compliance and Ethics Workshop 2013	Oct. 24 - 25, 2013 New York, NY
Outsourcing 2013: Sourcing Critical Services	Oct. 28 - 29, 2013 New York, NY
Securities Filings 2013: Practical Guidance in a Changing Environment	Oct. 28 - 29, 2013 San Francisco, CA
Financial Services Industry Regulatory Compliance & Ethics Forum 2013	Oct. 30, 2013 New York, NY

View all Corporate & Securities - Compliance Live Seminars

Broker/Dealer Regulation and Enforcement 2013	Oct. 23, 2013
Outsourcing 2013: Sourcing Critical Services	Oct. 28 - 29, 2013
Financial Services Industry Regulatory Compliance & Ethics Forum 2013	Oct. 30, 2013
Antitrust Counseling & Compliance 2013	Nov. 1, 2013
Advanced Compliance and Ethics Workshop 2013	Nov. 18 - 19, 2013

View all Corporate & Securities - Compliance Live Webcasts

Corporate Counsel Institute 2013	Oct. 16, 2013	[06:51:17]
White Collar Crime 2013: Prosecutors and Regulators Speak	Oct. 15, 2013	[06:21:54]
Securities Filings 2013: Practical Guidance in a Changing Environment	Oct. 11, 2013	[12:58:06]
Hedge Fund Management 2013	Sep. 26, 2013	[06:36:31]
Directors' Institute on Corporate Governance 2013 (Eleventh Annual)	Sep. 25, 2013	[07:16:05]

View all Corporate & Securities - Compliance On-Demand Learning

Treatises
Course Handbooks

Securities Investigations

Steven Wolowitz

Nov 1, 2011

View all Corporate & Securities - Compliance Treatises

Directors' Institute on Corporate Governance (Seventh Annual)	Ira M. Millstein	Jun 15, 2011
Securities Regulation Institute 2009 (41st Annual)	Stanley Keller	Oct 15, 2013

View all Corporate & Securities - Compliance Course Handbooks

Who's Speaking?

K. Susan Grafton ~ K&L Gates LLP
Speaking at Hedge Fund Compliance & Regulatory Challenges 2014 Practising Law Institute Jan. 28, 2014

Nearly 40% of investment advisers that are currently registered with the Securities and Exchange Commission manage at least one private fund.

...

Curtis L. Mo ~ DLA Piper LLP (US)
Speaking at Silicon Valley Corporate Law Update 2014: Start-Ups, Financings, IPOs, M&A Sheraton Palo Alto Jan. 9, 2014

Silicon Valley remains one of the most active deal markets in the world today. The broad array of fast-growing companies – from start-ups to major public

...

Featured Seminar

Broker/Dealer Regulation and Enforcement 2013

Oct. 23, 2013

Practising Law Institute - New York, NY

The Dodd-Frank Act - frequently described as the most sweeping reform legislation in decades - and the contemplated, proposed or final rules implementing it, have significant implications for broker-dealers. The concurrent proliferation of new regulation and record-breaking enforcement activity by the DOJ, SEC, CFTC, states and SROs have created a strained and overburdened environment for legal and compliance personnel. This program bri... Read More

News & Expert Analysis

October 2, 2013

CAFC Finds Promise Not to Infringe Insufficient in ANDA Litigation

From: Patent Law Practice Center

On September 26, 2013, the United States Court of ...

September 30, 2013

Forest Labs sues over Generic Version of SAVELLA®

From: Patent Law Practice Center

Forest Laboratories, Inc. (NYSE:FRX) and Forest La...

September 26, 2013

The Tangible, Mechanical Nature of Software

From: Patent Law Practice Center

Recently U.S. Patent No. 8,515,829 (the ’829...

September 23, 2013

St. Jude: Double Patenting at the Federal Circuit

From: Patent Law Practice Center

In the recent Federal Circuit case of St. Jude Med...

September 18, 2013

Patenting Self-Destructing E-mail Messages

From: Patent Law Practice Center

AT&T is seeking another patent on self-destruc...

FOLLOW PLI:

Practice Areas

Location

Credit Type

Format

Practice Areas

Credit Type

Format

Specialty

Practice Areas

Format

Subscriptions

Corporate & Securities - Compliance

Who's Speaking?

Featured Seminar

Broker/Dealer Regulation and Enforcement 2013

News & Expert Analysis


	Practice Areas Accounting Banking Bankruptcy & Restructuring Communications / Telecommunications Corporate & Securities Employment Ethics/Professional Responsibility Intellectual Property International Litigation Patent Pro Bono Professional Skills Real Estate Tax Location New York, NY San Francisco, CA Chicago, IL Washington, DC Los Angeles, CA Credit Type Elimination of Bias Ethics General Professional Practice Skills Substance Abuse Format Seminars Groupcasts Webcasts One-Hour Briefings


	The Exam Live Courses Homestudy Course Testimonials FAQ's For Engineers & Scientists


	Securities Law Practice Center Patent Law Practice Center PLI Librarian