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Corporate & Securities

Financial Products

Recorded on: Dec. 5, 2012

Taken from the Web Program Advanced Venture Capital 2012 Recorded December, 2012 in San Francisco Advanced Exits - M&A, IPO, Secondary Sales [02:03:46] M&A deal terms, including indemnity and waivers of claims Investor issues and protections Deal protective measures IPO developments JOBS Act and other regulatory considerations Secondary markets and liquidity programs The purchase price of this segment ...

Recorded on: Apr. 12, 2013

Taken from the Web Program How to Prepare an Initial Public Offering 2013 Recorded April, 2013 in New YorkAn Overview of the IPO Registration Process [01:11:21] Current state of the IPO market Considerations at the planning stage of an IPO Drafting of the registration statement and reduced disclosure requirements for emerging growth companies The purchase price of this segment includes the following article(s) from the Course Handbook available ...

Recorded on: Jun. 11, 2012

Taken from the Web Program Fundamentals of Mutual Funds and Exchange-Traded Funds 2012 Recorded June, 2012 in New York Background: Mutual Funds and Exchange-Traded Funds [01:02:11] History The different types of mutual funds The mutual fund as a retail product and as a retirement vehicle The emergence of ETFs The purchase price of this segment includes the following article(s) from the Course Handbook available online:  ...

Recorded on: Sep. 10, 2012

Taken from the Web Program Hedge Funds 2012: Strategies and Structures for an Evolving Marketplace Recorded September, 2012 in New York Basic Hedge Fund Structures [01:00:07] Formation of domestic and offshore structures Current terms and conditions for hedge funds Developments regarding fee arrangements Fundraising activities, private placement requirements, pay-to-play issues The purchase price of this segment includes ...

Recorded on: Oct. 22, 2012

Taken from the Web Program Fundamentals of Swaps & Other Derivatives 2012 Recorded October, 2012 in New York Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions [00:58:48] Netting opinions and jurisdictional considerations Valuation at termination: case law issues Other issues The purchase price of this segment includes the following article(s) from the Course Handbook available online:  ...

Recorded on: Feb. 25, 2013

Taken from the Web Program Broker-Dealer and Adviser Regulatory Compliance Forum 2013 Recorded February, 2013 in New York Broker-dealer and Adviser Advertising Developments [01:03:03] New FINRA public communication rules Internal Use Only Material: Complying with the new “reason to believe’ standard Backtested performance Private fund advertising under the JOBS Act The purchase price of this segment includes ...

Recorded on: Feb. 5, 2013

Taken from the Web Program Hedge Fund Compliance & Regulation 2013 Recorded January, 2013 in New York Building an Effective Compliance Program [01:23:16] Regulatory focus in 2013: views from the SEC and NFA Designing an effective compliance program Implementation and testing Working with regulators and preparing for an exam   The purchase price of this segment includes the following article(s) from the Course ...

Recorded on: Oct. 26, 2012

Taken from the Web Program Advanced Swaps & Other Derivatives 2012 Recorded October, 2012 in New York Clearing and Trading; Grandfathering; End-Users; Marin Posting for Cleared and Uncleared Transactions; Client Money Segregation; Loss Mutualization [01:28:16] Mandatory clearing and trading requirements SEFs and trading facilities, including definitions, exceptions, regulation and registration Margin, segregation and loss mutualization: ...

Recorded on: Apr. 22, 2013

Taken from the Web Program Private Placements and Other Financing Alternatives 2013 NY Recorded April, 2013 in New YorkCommunications Issues and Unannounced Offerings [00:59:19] Regulation FD Communications safe harbors Material nonpublic information Confidentiality and Non-Disclosure Agreements Standstills and trading prohibitions Compliance concerns for placement agents and underwriters The purchase price of this segment includes the ...

Recorded on: May. 2, 2013

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2013 Recorded April, 2013 in New YorkCurrent Trends and Developments [01:04:07] Will ETFs displace mutual funds as the pooled investment vehicle for the retail investor Will hedge funds displace registered funds as the preferred 21st century investment? What other changes are afoot in the mutual fund industry? The purchase price of this segment includes ...

Recorded on: Apr. 30, 2013

Taken from the Web Program First Annual Institute on Corporate & Securities Law in Hong Kong 2013 Recorded April, 2013 in Hong KongDebt Markets [01:00:51] Market overview: current trends and new products PRC corporate bond issues: risks and opportunities High yield in Asia - structural issues Capital structures and leveraged finance in Asia The purchase price of this segment includes the following article(s) from the Course Handbook available ...

Recorded on: Jan. 14, 2013

Taken from the Web Program Understanding Financial Products 2013 Recorded January, 2013 in New York Derivatives Products [02:02:13] Use of swaps, collars, options, futures and forwards to hedge portfolio positions Documentation for derivatives Structured and exchange traded notes Impact of Dodd-Frank: swap trading, clearing and trade reporting Special issues associated with credit derivatives Insolvency issues The ...

Recorded on: Dec. 7, 2012

Taken from the Web Program New Developments in Securitization Recorded November, 2012 in New York Derivatives Regulation and its Impact on Securitization [01:05:32] Overview of derivatives reforms under Dodd-Frank Clearing and margining Registration and reporting Loss of swap leverage Grandfathering The purchase price of this segment includes the following article(s) from the Course Handbook available online:  ...

Recorded on: Feb. 27, 2013

Taken from the Web Program Spin-offs 2013 Recorded February, 2013 in New York Designing the Spin-off [01:20:31] Securities law requirements Accounting and reporting issues Tax considerations and requirements The purchase price of this segment includes the following article(s) from the Course Handbook available online: Selected Federal Income Tax Considerations in Structuring Section 355 Distributions T. Eiko Stange  ...

Recorded on: Feb. 12, 2013

Taken from the Web Program Twelfth Annual Institute on Securities Regulation in Europe: Overcoming Deal-Making Challenges in the Current Markets Recorded February, 2013 in London Developments in Mergers & Acquisitions and Private Equity [01:11:14] Using a hypothetical based on recent deals, the panel will address:   Changing landscape in cross-border and hostile M&A Stake building - when is it effective? When does it ...

Recorded on: Dec. 18, 2012

Taken from the Web Program Understanding the Securities Laws 2012 Recorded December, 2012 in New York Disclosure Basics [01:01:41] The duty to disclose Materiality - Contingent events - SAB 99 Regulation FD and dealing with analysts Stock exchange disclosure requirements Rumors and leaks Loss contingencies Projections/safe harbor for forward-looking statements Disclosure on the Internet/company ...

Recorded on: Jan. 28, 2013

Taken from the Web Program Securities Products of Insurance Companies in the Course of Regulatory Reform 2013 Recorded January, 2013 in New York Distribution of Insurance/Securities Products; Advertising; and Ethics [00:57:20] FINRA and social media Suitability Advertising standards Ethical practices in distribution The purchase price of this segment includes the following article(s) from the Course Handbook available online:  ...

Recorded on: Mar. 25, 2013

Taken from the Web Program Securities Offerings 2013: A Public Offering: How It Is Done Recorded March, 2013 in New YorkDue Diligence and the Offering Process [01:29:40]The purchase price of this segment includes the following article(s) from the Course Handbook available online: Lawyers as Gatekeepers in the Underwriting ProcessSarah E. Beshar Presentation Material Due Diligence and the Offering ProcessSarah E. Beshar

Recorded on: Jun. 1, 2012

Taken from the Web Program JOBS Act 2012: What You Need to Know Now Recorded May, 2012 in New York Exempt Offerings Under the JOBS Act: Crowdfunding and Regulation A+ [00:57:19] How exempt crowdfunding offerings will be conducted Regulation of funding portals Opportunities created by the new Section 3(b)(2) exemption SEC rulemaking efforts on crowdfunding and Section 3(b)(2) exemptions The purchase price of this segment ...

Recorded on: Jan. 23, 2013

Taken from the Web Program Taxation of Financial Products and Transactions 2013 Recorded January, 2013 in New York Final Regulations under Section 871(m) [01:02:02] Issues under the proposed regulations Government attorneys’ latest thinking Discussion of final regulations (if released) The purchase price of this segment includes the following article(s) from the Course Handbook available online: Considerations for ...

Recorded on: Feb. 28, 2013

Taken from the Web Program The SEC Speaks in 2013 Recorded February, 2013 in Washington Investment Management [01:03:21] Retirement Novel Products Private Funds The purchase price of this segment includes the following article(s) from the Course Handbook available online: Outline: Division of Investment Management Presentation Material Investment Management Norm Champ,Diane C. Blizzard,Barry D. Miller,Susan ...

Recorded on: Nov. 15, 2012

Taken from the Web Program 44th Annual Institute on Securities Regulation Recorded November, 2012 in New York Jumpstarting Capital Formation - the New Legislation and Other Developments [01:34:27] Practical impacts of the JOBS Act Measures to foster capital formation while maintaining investor protection Changes in the communications environment after the JOBS Act Dealing with nonpublic public companies Increased pressure ...

Recorded on: Jul. 24, 2012

Taken from the Web Program Fundamentals of Investment Adviser Regulation Recorded July, 2012 in New York Laying the Foundation [01:17:39] Who is an adviser? Who are the regulators? The different models for providing advisory services The purchase price of this segment includes the following article(s) from the Course Handbook available online: Introduction to the Investment Advisers Act of 1940 Clifford E. Kirsch  ...

Recorded on: Feb. 20, 2013

Taken from the briefing Preparing and Disclosing Financial Projections in Public M&A recorded February, 2013. Sullivan & Cromwell LLP M&A partners Francis J. Aquila and Krishna Veeraraghavan will discuss the basics of preparing and disclosing financial projections in public mergers and acquisitions transactions.   Lecture Topics  [Total Time: 01:03:41] Best practices of a target board in having financial ...