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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: Apr. 12, 2013

Taken from the Web Program How to Prepare an Initial Public Offering 2013 Recorded April, 2013 in New YorkCommunications During Registration and the SEC's Role in the IPO Process [01:04:35] What communications are permitted during the registration process? “Testing the waters” under the JOBS Act Nuts and bolts of the SEC review process How to maximize effective interactions with the SEC The purchase price of this segment includes the following ...

Recorded on: Oct. 22, 2012

Taken from the Web Program Fundamentals of Swaps & Other Derivatives 2012 Recorded October, 2012 in New York Derivatives Documentation -- Overview of the ISDA Architecture; Masters, Schedules, Confirms, CSAs and collateralization; Execution and Account Agreements [01:25:55] Master and schedule Confirms and CSAs Bridges and protocols Clearing documentation The purchase price of this segment includes the following article(s) ...

Recorded on: May. 9, 2012

Taken from the Web Program The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2012 Recorded May, 2012 in New York Difficult and Unresolved Questions Under the FCPA [01:16:42] Who is a foreign official? Jurisdictional limits on the FCPA’s reach? What does “knowledge” really mean? What exactly is an "instrumentality"; Is it different from a “public enterprise”  ...

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: Aug. 8, 2012

Taken from the Web Program Prison Law 2012 Recorded August, 2012 in New York Ethical Issues in Prison Actions [01:00:55]   Ethical issues that arise in the context of representing prisoners in civil rights actions Potential for conflicts of interest in prisoners’ rights actions Ethical issues and client relationships 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 Exchange-Traded Funds [01:00:26] Overview of market Different types of exchange-traded products Investment Company Act: Regulatory issues The purchase price of this segment includes the following article(s) from the Course Handbook available online: Introduction to Exchange-Traded Funds James C. ...

Recorded on: Nov. 15, 2012

Taken from the Web Program Whistleblowers and the False Claims Act 2012: What You Need to Know Recorded November, 2012 in San Francisco FCA Liability: Enforcement Trends and Limiting Exposure [01:18:18] A. Recent FCA Developments: Legal Trends Impacting Corporate Liability [30 min.] Increased Individual Prosecution and Use of Civil Investigative Demands Expansion of "Implied Certification" Theory of Liability Changes ...

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 YorkHot Topics [01:00:07]The purchase price of this segment includes the following article(s) from the Course Handbook available online: Jumpstart Our Business Startups Act Frequently Asked Questions: Generally Applicable Questions on Title I of the JOBS ActLizabethAnn R. Eisen SEC Proposes Rule on General Solicitation in Certain ...

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: Jun. 1, 2012

Taken from the Web Program JOBS Act 2012: What You Need to Know Now Recorded May, 2012 in New York Litigation and Ethical Traps in the JOBS Act [01:00:13] SEC enforcement and private litigation concern Ethical considerations for practitioners The purchase price of this segment includes the following article(s) from the Course Handbook available online: Presentation Material JOBS Act – Overview and Observations (May ...