Narrow Your Results

Display:

Seminars & Webcasts

On-Demand

Publications

Faculty/Authors

News/Blogs

List View Table View

Advanced Swaps & Other Derivatives 2014

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

The Dodd-Frank Act establishes a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products. That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC, with SEC progress, as well.The new regulatory regime touches the activities of all participants in the swaps markets, from end users to major swap participants ...

Broker/Dealer Regulation and Enforcement 2014

Seminar  SeminarWebcast  Webcast

This program will focus on the many significant developments in the regulation and oversight of broker-dealers. New rules are continuously promulgated under the Dodd-Frank Act and have substantial implications for broker-dealers and the industry. At the same time, there is heightened enforcement of the federal securities laws. The SEC Division of Enforcement has established a new task force focused specifically on broker-dealers. FINRA is considering ...

Corporate Political Activities 2014: Complying With Campaign Finance, Lobbying and Ethics Laws

Seminar  Seminar

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, ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2014

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

In the aftermath of the financial crisis and recent scandals, and targeted examination and enforcement scrutiny, financial services firms’ corporate compliance and ethics programs are under intense observation. At this program, attendees will get a solid foundation in the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2015

Handbook  Course Handbook

Course Handbook from the program Financial Services Industry Regulatory Compliance & Ethics Forum 2015, held October, 2015.

Fundamentals of Swaps & Other Derivatives 2014

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Over-the-counter (OTC) derivatives are key elements in many of our financial markets. The Dodd-Frank Act is substantially changing how these important instruments are regulated and transacted. This program will introduce you to both the instruments and their new environment.A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference asset or entity between the parties thereto. Derivatives ...

Understanding the Securities Laws Fall 2014

Handbook  Course Handbook

Course Handbook from the program Understanding the Securities Laws Fall 2014, held October, 2014.

Featured Faculty/Authors
George M. Wilson, MBA, CPA

George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI

Katie M. Lachter

Katie M. Lachter ~ Hinshaw & Culbertson LLP

Alex Hao

Alex Hao ~ Jun He Law Offices