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Corporate Political Activities 2016: Complying with Campaign Finance, Lobbying and Ethics Laws

Seminar  Seminar

Please note that this program does not qualify for legal ethics credit. Why You Should Attend Federal and state lobbying, campaign finance and ethics rules are changing, making compliance with those laws more challenging than ever. Congressional ethics rules, the Lobbying Disclosure Act (LDA) and pay-to-play laws place additional responsibilities on companies and their executives and directors. To stay current on the latest developments, be sure ...

Fundamentals of Broker-Dealer Regulation 2016

Seminar  SeminarWebcast  Webcast

Why You Should Attend Major changes in the broker-dealer industry and regulatory framework continue as a result of the financial services crisis, the resulting regulatory reform and other trends and developments.  At the same time, FINRA’s rewrite of its Rulebook is almost complete, and broker-dealers have become subject to DOL’s new stringent rules imposing a fiduciary duty with respect to their sales in connection with their IRA ...

Fundamentals of Investment Adviser Regulation 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Over the past few years, the SEC has put the regulation of investment advisers under the microscope, with advisers becoming a major focus of the SEC’s 2016 enforcement and exam program.  The SEC has set high expectations for advisers in identifying and responding to conflicts of interests and for providing robust and targeted client disclosures. At this program, attendees will get a solid foundation in the regulatory ...

Insider Trading Law 2016: Salman, Newman, and the Road Ahead

Seminar  SeminarWebcast  Webcast

Why You Should Attend Insider trading is a critical area of criminal and civil enforcement and will likely remain so for some time to come.  Following the Second Circuit’s ground-breaking decision on tippee liability in United States v. Newman, and the Ninth Circuit’s seminal decision on the same issue in United States v. Salman, the law’s contours are in flux.  Enter the Supreme Court, whose decision in Salman could ...

Understanding the Securities Laws 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend 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 will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners as well as SEC staff. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of ...


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