19-Hour Program

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Overview

Why you should attend

We are pleased to co-chair the 46th edition of PLI’s Annual Institute on Securities Regulation, the most highly anticipated annual review of the current state of securities regulation and corporate law and practice.

This year’s agenda reflects significant developments in the securities laws, as well as changes in the business and legal environment, including:

  • Continued implementation of the Dodd-Frank and JOBS Acts
  • The latest developments in the IPO process, capital formation and merger and acquisitions
  • Panels on activism, communications to investors and crisis management
  • The latest accounting and disclosure developments
  • Ongoing aggressive enforcement efforts, and
  • An active private litigation environment

The Institute panels have been organized to offer targeted, comprehensive and practice-oriented sessions. Focusing on today’s most pressing issues in the most critical areas, this program provides the information you need to provide best practices to your clients or company.

The Institute puts the developments of the past year into proper perspective and prepares you for 2015 and beyond.

As always, the Institute’s stellar faculty - comprised of the very best from the government, private practice, investment banking, accounting firms and corporations - will share their unique insights and experiences and offer best-practices and effective strategies to help you navigate today’s constantly evolving financial environment.

What you will learn

We look forward to lively and informative discussions during this year’s panel topics:

Day One

  • How’s Life in the Capital Markets?
    • Public Offerings
    • Private Markets
  • Update from the Division of Corporation Finance
  • The Developing Playbooks for Activists’ Challenges and Corporate Responses
  • Communications to Investors in the Era of Social Media and Activist Investors
Day Two
  • Interview with Past Directors of Enforcement
  • Real World Crisis Management: Considerations and Challenges of Navigating through a Crisis
  • Continued Focus on Accounting and Auditing: The Integrity of the Numbers and Processes
  • Disclosure Effectiveness – Step #1: Improving the MD&A and CD&A (Working Lunch)
  • Ensuring Quality as Scrutiny Builds: Compensation and Disclosure Issues
  • Ethics in the Deal Context (1 hour ethics credit)
Day Three

  • The Government’s Perspective on Securities Enforcement: Top Priorities and Policies in Action
  • The Defense Perspective: Responding to the Changing Landscape of Securities Enforcement
  • Private Securities Litigation
  • Mergers and Acquisitions . . . Always Something New
  • Ethical Considerations in Enforcement Actions and Investigations (1 hour ethics credit)
At the conclusion of each panel, you will receive a list of practical take-away points to use in guiding your clients through complex and challenging situations.

The 46th Annual Institute on Securities Regulation is the most significant, comprehensive securities conference of the year.

You may also attend via live webcast at www.pli.edu. Web attendees may choose between streaming audio or video, and have access to the downloadable electronic version of the corresponding Course Handbook.

If you’d like to broadcast the Institute directly to your firm for group viewing, please e-mail the Groupcasts Department at groupcasts@pli.edu to make arrangements.


10 Reasons To Attend PLI’s 46th Annual Institute on Securities Regulation

1. Receive up-to-the-minute information and analysis of the current state of securities, financial regulatory, and corporate law and practice at the longest-running, highest-quality Institute anywhere. Get the cutting-edge, practical strategies and solutions you need to meet today’s most pressing issues.

2. Hear from a stellar faculty of over 70 experts drawn from private practice, corporations, accounting firms, investment banking, institutional investors, the judiciary, academia and the government, including the U.S. Securities and Exchange Commission, U.S. Attorney’s Office, Eastern District of New York, U.S. Commodities Futures Trading Commission, and the Public Company Accounting Oversight Board.

You’ll also have the opportunity to hear a Keynote Address by Hon. Jed S. Rakoff, United States District Court, Southern District of New York to open the Institute on Day One, as well as an Interview with Past Directors of the Division of Enforcement on Day Two.

3. Get practical, immediately-applicable information. Hear expert commentary from the panels, and receive a list of take-away best practices at the conclusion of each panel that you can reference and implement in your daily practice.

4. Enhance your value as an advisor, whatever your practice level: Whether you are an associate, senior partner or general counsel, this Institute provides hands-on information you won’t get anywhere else.

5. Come away with real-world expertise from the new Working Lunch on Day Two of the Institute: Disclosure Effectiveness – Step #1: Improving the MD&A and CD&A.

6. Participate in all-new sessions in addition to the Working Lunch and Keynote Q&A: The Developing Playbooks for Activists’ Challenges and Corporate Responses, Communications to Investors in the Era of Social Media and Activist Investors; and two ethics sessions: Ethics in the Deal Context and Ethical Considerations in Enforcement Actions and Investigations.

7. Get the important in-house perspective, and hear a diverse set of viewpoints throughout the panel sessions, including another new session on Real World Crisis Management: Considerations and Challenges of Navigating through a Crisis.

8. Receive a two-volume reference guide and booklet of best practices on securities and corporate law issues that you will refer to throughout the year.

9. Network with over 1,000 of your colleagues from leading firms and corporations nationwide and receive CLE, CPE and CPD credit (including two hours of ethics CLE credit).

10. PLI’s Unconditional Guarantee
It’s simple: if you are not completely satisfied with the return on your investment from any PLI program, we will refund your money in full.

Credit Details