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Securities

Released on: Feb. 7, 2013

Taken from the briefing 10b5-1 Trading Plans and Insider Trading Under the Spotlight: Key Issues Companies and Executives Must Consider recorded January, 2013. A recent front page article in the Wall Street Journal entitled “Executives’ Good Luck in Trading Own Stock” reported that, based on the review of thousands of trades by corporate insiders, many executives appear to have done suspiciously well buying and selling their companies’ ...

From the program: Advanced Swaps & Other Derivatives 2012

Recorded on: Oct. 22, 2012

Taken from the Web Program Advanced Swaps & Other Derivatives 2012 recorded October, 2012 in New York. Lecture Topics  [00:33:18] Enforcement, Litigation & Insolvency and Resolution Authority: Netting Opinions; Safe Harbors; Orderly Liquidation Part 1  [00:33:18] Review of recent cases of interest to the OTC derivatives market, including flip clauses, multilateral netting, and more Fraud prosecutions (synthetic ...

From the program: Handling a Securities Case 2013: From Investigation to Trial and Everything in Between

Released on: May. 9, 2013

The landscape of securities litigation is constantly evolving and changing. This program takes you through all the issues that arise in even the most complex securities matters - from the initial government investigation to the filing of the civil cases to either settlement or trial. If you practice in this dynamic field, you know that the need to stay current and develop new strategies and tactics has never been more important. Our faculty of leading ...

From the program: Delaware Law Developments 2012: What All Business Lawyers Need to Know

Recorded on: Jun. 18, 2012

Taken from the Web Program Delaware Law Developments 2012: What All Business Lawyers Need to Know Recorded June 2012 in New York City Lecture Topics Recent Developments in Delaware Law [01:37:03] Southern Peru and lessons for special committees and their advisors The re-emergence of quasi-appraisal claims in disclosure cases outside the core area of appraisal rights Update on Section 220 books and records cases: VeriFone Holdings; ...

From the program: Delaware Law Developments 2013: What All Business Lawyers Need to Know

Recorded on: Jun. 3, 2013

Taken from the Web Program Delaware Law Developments 2013: What All Business Lawyers Need to Know recorded May, 2013 in New York.Lecture Topics  [00:59:23]Judges Roundtable: Perspectives on Multi-Jurisdictional Practice  [00:59:23] How do judges determine which cases go forward where? Do judges talk? What do they say? How are settlements handled? How are attorneys’ fees awarded? The purchase price of this segment includes ...

From the program: Enforcement 2013: Perspectives from Government Agencies

Recorded on: Apr. 29, 2013

Taken from the Web Program Enforcement 2013: Perspectives from Government Agencies recorded April, 2013 in New York.Lecture Topics  [00:59:26]Legal Issues in the Courts: The Year in Review  [00:59:26]The purchase price of this segment includes the following article from the Course Handbook available online: What More Can be Done to Deter Violations of the Federal Securities Laws?, Texas Law Review, Vol. 90, pp. 1849–1889 (2012)David ...

From the program: Securities Regulation Institute (44th Annual)

Released on: Nov. 21, 2012

PLI's Annual Institute on Securities Regulation has become the most highly anticipated annual review of the current state of securities, financial regulation, and corporate law and practice. As always, we strive to bring you the most up-to-date information in response to the many developments of the past year. We continue to see significant changes in the securities laws field - as a result of the enactment of the JOBS Act, changes to the ...

From the program: Handling a Securities Case 2012: From Investigation to Trial and Everything in Between

Released on: Jun. 7, 2012

DVD's from the program Handling a Securities Case 2012: From Investigation to Trial and Everything in Between, held April, 2012.

From the program: Internal Investigations 2012: How to Protect Your Clients or Companies in the Global, Post-Dodd Frank World

Recorded on: Jun. 28, 2012

Taken from the Web Program Internal Investigations 2012: How to Protect Your Clients or Companies in the Global, Post-Dodd Frank World recorded June, 2012 in New York. Lecture Topics  [01:27:26] Commencing the Investigation: Considerations at the Outset  [01:27:26] How do you deal with allegations by someone who may be a whistleblower? When is an investigation warranted? Who should oversee the investigation? Who ...

Recorded on: Feb. 28, 2013

Taken from the Web Program The SEC Speaks in 2013 Recorded February, 2013 in Washington Judicial and Legislative Developments [01:01:55] Aiding and abetting the violation of antifraud provisions Brokerage firm liability for sales representatives’ misrepresentations Insider trading liability Statute of limitations for civil penalties Court approval of consent judgments First Amendment challenge to Commission’s ...

Recorded on: Dec. 18, 2012

Taken from the Web Program Understanding the Securities Laws 2012 Recorded December, 2012 in New York Liability for Securities Law Violations [01:28:04] Securities Act - Sections 11, 12, 15 and 17 - Effect of the JOBS Act - Indemnification and contribution Exchange Act - Section 10 and Rule 10b-5 - Insider trading and selective disclosure “Controlling person” liability International issues The ...

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 Litigation Involving Mutual Funds [01:00:51] Private rights of action under the Investment Company Act Excessive fee cases The mutual fund as plaintiff The purchase price of this segment includes the following article(s) from the Course Handbook available online: Excessive Fee Litigation and The Investment ...

Recorded on: Feb. 1, 2013

Taken from the briefing Regulation FD and Social Media in the Wake of the Netflix Investigation: Facebook, Blogging and Beyond recorded February, 2013. The continued surge in the number of people using social media and the many different types of information outlets available for use have put significant pressure on companies' ability to comply with SEC Regulation Fair Disclosure's requirements and restrictions.  Recent news that ...

Recorded on: Oct. 4, 2012

Taken from the Web Program White Collar Crime 2012: Prosecutors and Regulators Speak Recorded October, 2012 in New York Review of Significant Cases and Recent Developments [01:09:01] What are the important developments over the past year in the area of white collar enforcement? What are the current priorities for prosecutors and regulators? How can defense counsel effectively represent their clients in the current environment? The ...

Released on: Dec. 3, 2012

Taken from the briefing Special Litigation Committees: Back in Vogue? recorded November, 2012. Between the fallout from the credit crisis and other financial or ethical misdeeds, corporations are seeing an upswing in shareholder derivative demands - the initial step in the legal process by which shareholders bring lawsuits on behalf of corporations against directors and senior executives.  Shareholder derivative suits are unique ...

Released on: Apr. 8, 2013

Taken from the briefing Supreme Court's Amgen Inc. v. Connecticut Retirement Plans & Trust Funds: Class Certification of Securities Fraud Actions recorded March, 2013. The Supreme Court handed down its decision in Amgen Inc. v. Connecticut Retirement Plans & Trust Funds, No. 11-1085, on February 27, 2013, and held that plaintiffs asserting claims for violations of Section 10(b) of the Securities Exchange Act of 1934 need not, at the class ...