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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

Mark Your Calendar.  More Information to Come!

Internal Investigations 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Knowing how to conduct efficient and effective 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, an expert faculty will review the fundaments of conducting an internal investigation, as well as touch on the many more nuanced and practical issues that arise.  A real-world ...

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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