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Acquiring or Selling the Privately Held Company 2013 -- A. Indemnification B. Special Issues Involved in Acquiring Divisions or Subsidiaries of Larger Companies

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From the program: Acquiring or Selling the Privately Held Company 2013

Recorded on: Jun. 12, 2013

Taken from the Web Program Acquiring or Selling the Privately Held Company 2013 recorded June, 2013 in New York.Lecture Topics  [01:29:29]A. Indemnification B. Special Issues Involved in Acquiring Divisions or Subsidiaries of Larger Companies  [01:29:29]A. Indemnification [45 minutes]Techniques and issues in negotiating indemnification provisions: “Baskets” “Caps” Partial indemnification “Sandbagging” Survival of warranties Control ...

Antitrust Counseling & Compliance 2013 -- Ethics and Compliance

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From the program: Antitrust Counseling & Compliance 2013

Recorded on: Nov. 4, 2013

Taken from the Web Program Antitrust Counseling & Compliance 2013 recorded November, 2013 in New York.Lecture Topics  [00:57:39]Ethics and Compliance  [00:57:39] Using a fun, interactive method, learn how to avoid ethical problems that recur in the antitrust arena, including those that relate to document preservation obligations in investigations and litigation, duties to employees, conflicts of interest, and practice before the ...

Basics of Accounting for Lawyers 2013: What Every Practicing Lawyer Needs to Know -- Anatomy of the Balance Sheet

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From the program: Basics of Accounting for Lawyers 2013: What Every Practicing Lawyer Needs to Know

Recorded on: Jul. 23, 2013

Taken from the Web Program Basics of Accounting for Lawyers 2013: What Every Practicing Lawyer Needs to Know recorded July, 2013 in San Francisco.Lecture Topics  [01:45:00]Anatomy of the Balance Sheet  [01:45:00] The elements of a balance sheet - assets, liabilities and stockholders’ equity and their significance What to look for when reading a balance sheet Current assets, such as cash, receivables, inventories, investments in debt ...

Basics of Mutual Funds and Other Registered Investment Companies 2013 -- Current Trends and Developments

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From the program: Basics of Mutual Funds and Other Registered Investment Companies 2013

Recorded on: Apr. 30, 2013

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2013 recorded April, 2013 in New York.Lecture Topics  [01:03:27]Current Trends and Developments  [01:03:27] 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 ...

Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants -- Advice Regarding Commodities

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From the program: Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants

Recorded on: Feb. 22, 2014

Taken from the Web Program Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants recorded February, 2014 in New York.Lecture Topics  [00:53:35]Advice Regarding Commodities  [00:53:35] Implication for Retail Advisory Services Related to Advice about mutual funds and ETFs that are commodity pools CTA Registration NFA Compliance Obligations The purchase price of this segment includes ...

Cloud Computing 2013: Cut Through the Fluff & Tackle the Critical Stuff -- Contract Issues

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From the program: Cloud Computing 2013: Cut Through the Fluff & Tackle the Critical Stuff

Recorded on: Jun. 11, 2013

Taken from the Web Program Cloud Computing 2013: Cut Through the Fluff & Tackle the Critical Stuff recorded June, 2013 in San Francisco.Lecture Topics  [01:34:45]Contract Issues  [01:34:45] What can and can’t be negotiated in enterprise cloud-computing deals? What are the most significant issues for RFPs, due diligence and negotiations? What should/shouldn’t be included in key provisions?:- Privacy, data security and confidentiality- ...

Doing Deals 2014: The Art of M&A Transactional Practice -- Getting the Deal Started: Preliminary Agreements and the Role of Financial Advisors

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From the program: Doing Deals 2014: The Art of M&A Transactional Practice

Recorded on: Mar. 17, 2014

Taken from the Web Program Doing Deals 2014: The Art of M&A Transactional Practice recorded March, 2014 in New York.Lecture Topics  [01:34:27]Getting the Deal Started: Preliminary Agreements and the Role of Financial Advisors  [01:34:27] Confidentiality agreements Emerging issues in working with financial advisors Effective auction techniques - from bid instruction to closing The purchase price of this segment includes the ...

Doing Deals in and with Emerging Markets: BRICs and Beyond 2013 -- Antitrust Considerations in International Deals

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From the program: Doing Deals in and with Emerging Markets: BRICs and Beyond 2013

Recorded on: Jul. 12, 2013

Taken from the Web Program Doing Deals in and with Emerging Markets: BRICs and Beyond 2013 recorded July, 2013 in New York.Lecture Topics  [00:58:19]Antitrust Considerations in International Deals  [00:58:19] Recent developments in the antitrust frameworks applicable to deals in Emerging Markets Dealing with antitrust considerations in foreign acquisitions and joint ventures Antitrust enforcement The purchase price of this segment ...

Drafting and Negotiating Corporate Agreements 2014 -- A. Introduction and Universal Issues in Drafting and Negotiating Corporate Agreements B. Letters of Intent, Confidentiality and Standstill Agreements

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From the program: Drafting and Negotiating Corporate Agreements 2014

Recorded on: Jan. 15, 2014

Taken from the Web Program Drafting and Negotiating Corporate Agreements 2014 recorded January, 2014 in New York.Lecture Topics  [00:56:10]A. Introduction and Universal Issues in Drafting and Negotiating Corporate Agreements B. Letters of Intent, Confidentiality and Standstill Agreements  [00:56:10] A. Introduction and Universal Issues in Drafting and Negotiating Corporate Agreements The range of corporate agreements Controlling the ...

Drafting Securities Filings 2012 -- The Disclosure Cycle and Related Filings

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From the program: Drafting Securities Filings 2012

Recorded on: Oct. 5, 2012

Taken from the Web Program Drafting Securities Filings 2012 recorded September, 2012 in New York. Lecture Topics  [01:00:18] The Disclosure Cycle and Related Filings  [01:00:18] A. The Duty to Disclose Disclosure beyond the line items: the sources of the duty to disclose Duty to update and duty to correct Missing guidance - breaking the bad news B. Quarterly Earnings Cycle  Earnings announcements and related ...

Financial Services Industry Regulatory Compliance & Ethics Forum 2013 -- Anti-Money Laundering (AML)

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From the program: Financial Services Industry Regulatory Compliance & Ethics Forum 2013

Recorded on: Nov. 1, 2013

Taken from the Web Program Financial Services Industry Regulatory Compliance & Ethics Forum 2013 recorded October, 2013 in New York.Lecture Topics  [01:01:41]Anti-Money Laundering (AML)  [01:01:41] One size does not fit all: Implementing an AML program appropriate for your business in today's economy Balancing a rigorous AML compliance program and customer/counterparty expectations Do's and don'ts of suspicious activity monitoring ...

Fundamental Concepts in Drafting Contracts: What Most Attorneys Fail toConsider 2014 -- Basic Concepts

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From the program: Fundamental Concepts in Drafting Contracts: What Most Attorneys Fail toConsider 2014

Recorded on: Mar. 18, 2014

Taken from the Web Program Fundamental Concepts in Drafting Contracts: What Most Attorneys Fail to Consider 2014 recorded March, 2014 in New York.Lecture Topics  [01:27:11]Basic Concepts  [01:27:11] Preliminary Matters The Framework of a Contract The purchase price of this segment includes the following article from the Course Handbook available online: Fundamental Concepts in Drafting Contracts: What Most Attorneys Fail to ...

Fundamentals of Broker-Dealer Regulation 2013 -- Broker-Dealer Registration and FINRA Membership

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From the program: Fundamentals of Broker-Dealer Regulation 2013

Recorded on: Jun. 28, 2013

Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2013 recorded June, 2013 in New York.Lecture Topics  [00:59:04]Broker-Dealer Registration and FINRA Membership  [00:59:04] Registration as a broker-dealer: The Form BD FINRA’s membership process The membership agreement Registration of Associated Persons The purchase price of this segment includes the following article from the Course Handbook available online: Broker-Dealer ...

Fundamentals of Investment Adviser Regulation 2013 -- Adviser Registration; Regulatory Jurisdiction

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From the program: Fundamentals of Investment Adviser Regulation 2013

Recorded on: Jul. 18, 2013

Taken from the Web Program Fundamentals of Investment Adviser Regulation 2013 recorded July, 2013 in New York.Lecture Topics  [01:07:14]Adviser Registration; Regulatory Jurisdiction  [01:07:14] State regulation The interplay between the SEC and the states Registration as an Adviser: The Form ADV Registration of Associated Persons The purchase price of this segment includes the following article from the Course Handbook available ...

Fundamentals of Swaps & Other Derivatives 2013 -- Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions

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From the program: Fundamentals of Swaps & Other Derivatives 2013

Recorded on: Oct. 24, 2013

Taken from the Web Program Fundamental of Swaps & Other Derivatives 2013 recorded October, 2013 in New York.Lecture Topics  [00:58:50]Bilateral OTC Derivatives: Termination, Valuation, Netting, Closeout, Netting Opinions  [00:58:50] Netting opinions and jurisdictional considerations Valuation at termination: case law issues; regulated aspects Other issuesThe purchase price of this segment includes the following article from the ...

How to Prepare an Initial Public Offering 2013 -- An Overview of the IPO Registration Process

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From the program: How to Prepare an Initial Public Offering 2013

Recorded on: Apr. 11, 2013

Taken from the Web Program How to Prepare an Initial Public Offering 2013 recorded April, 2013 in New York.Lecture Topics  [01:10:38]An Overview of the IPO Registration Process  [01:10:38] 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 ...

How to Read Financial Statements 2014 -- A Detailed Examination of Financial Statements and Financial Ratios

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From the program: How to Read Financial Statements 2014

Recorded on: Mar. 26, 2014

Taken from the Web Program How to Read Financial Statements 2014 recorded March, 2014 in New York.Lecture Topics  [01:48:01]A Detailed Examination of Financial Statements and Financial Ratios  [01:48:01] A. Understanding Financial Statements Line item analysis of the Income Statement, Balance Statement and Cash Flow Statement Analysis of the interaction between financial statements Revenue recognition, lease accounting, and other ...

Internal Investigations 2013 -- Commencing the Investigation: Considerations at the Outset

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From the program: Internal Investigations 2013

Recorded on: Jun. 26, 2013

Taken from the Web Program Internal Investigations 2013 recorded June, 2013 in New York.Lecture Topics  [01:27:17]Commencing the Investigation: Considerations at the Outset  [01:27:17] How do you deal with allegations by a whistleblower? What are the labor and employment issues? When is an investigation warranted? Who should oversee the investigation? Who should conduct the investigation?In-house vs. outside counsel What is ...

Municipal Securities Activity by Broker-Dealers and Advisors 2013 -- MSRB and FINRA Developments

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From the program: Municipal Securities Activity by Broker-Dealers and Advisors 2013

Recorded on: Jun. 4, 2013

Taken from the Web Program Municipal Securities Activity by Broker-Dealers and Advisors 2013 recorded May, 2013 in New York.Lecture Topics  [00:58:08]MSRB and FINRA Developments  [00:58:08] The MSRB Rulebook EMMA: current resources and future functionality FINRA monthly report card: material event disclosure in the primary market The purchase price of this segment includes the following article from the Course Handbook available ...

New Jersey Basic CLE Marathon 2012 -- Civil Trial Practice - The Trial

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From the program: New Jersey Basic CLE Marathon 2012

Recorded on: Jun. 1, 2012

Taken from the Web Program New Jersey Basic CLE Marathon 2012 recorded May, 2012 in New York. Lecture Topics  [01:08:06] Civil Trial Practice - The Trial  [01:08:06] Trial Preparation - the 90 days before trial Motions in limine, evidence, stipulations Bench or jury trials Opening and closing statements Presentation of evidence and witness Post-trial motions The purchase price of this segment ...

New Jersey Basic CLE Marathon 2013 -- Civil Trial Practice - The Trial

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From the program: New Jersey Basic CLE Marathon 2013

Recorded on: May. 29, 2013

This program contains 4 NJ NA categories for 6.5 hours. They are 1.2 credits of New Jersey Basic Estate Planning (NA2) , 2.9 credits of Civil Trial Practice – The Trial  (NA3), 1.2 credits of New Jersey Real Estate Closing Procedures (NA5), and 1.2 credits of New Jersey Trust and Business Accounting (NA6).Taken from the Web Program New Jersey Basic CLE Marathon 2013 recorded May 28,2013 in New York.Lecture Topics  [01:25:44]Civil Trial Practice ...

Outsourcing 2013: Sourcing Critical Services -- Anatomy of a Master Services Agreement

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From the program: Outsourcing 2013: Sourcing Critical Services

Recorded on: Nov. 5, 2013

Taken from the Web Program Outsourcing 2013 (Fall): Sourcing Critical Services recorded October, 2013 in New York.Lecture Topics  [01:04:22]Anatomy of a Master Services Agreement  [01:04:22] Sweep clauses, change management and other key mechanisms Creative compromises regarding contentious contractual provisions Structuring and drafting tips Common mistakes to be avoided The purchase price of this segment includes the following ...

Pocket MBA Fall 2013: Finance for Lawyers -- A Detailed Look at Basic Financial Statements

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From the program: Pocket MBA Fall 2013: Finance for Lawyers

Recorded on: Oct. 18, 2013

Taken from the Web Program Pocket MBA Fall 2013: Finance for Lawyers recorded October, 2013 in New York.Lecture Topics  [01:31:17]A Detailed Look at Basic Financial Statements  [01:31:17] The purpose of financial statements- Reporting to stakeholders- Comparability Basic Financial Statements- Income Statement- Balance Sheet- Statement of Cash Flows- Statement of Shareholders’ Equity Accounting fundamentals and core concepts- Matching ...

Pocket MBA Summer 2013: Finance for Lawyers -- A Detailed Look at Financial Statements

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From the program: Pocket MBA Summer 2013: Finance for Lawyers

Recorded on: Jun. 5, 2013

Taken from the Web Program Pocket MBA Summer 2013: Finance for Lawyers recorded June, 2013 in San Francisco.Lecture Topics  [01:30:05]A Detailed Look at Financial Statements  [01:30:05] The purpose of financial statements - Reporting to stakeholders- Comparability Basic Financial Statements- Income Statement- Balance Sheet- Statement of Cash Flows- Statement of Shareholders’ Equity Accounting fundamentals and core concepts- Matching ...

Private Placements and Other Financing Alternatives 2013 -- Communications Issues and Unannounced Offerings

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From the program: Private Placements and Other Financing Alternatives 2013

Recorded on: Apr. 22, 2013

Taken from the Web Program Private Placements and Other Financing Alternatives 2013 recorded April, 2013 in New York.Lecture Topics  [00:57:36]Communications Issues and Unannounced Offerings  [00:57:36] 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 ...

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

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

Mina Park

Mina Park ~ Director, Banking and Capital Markets Origination Legal, Asia Pacific, Citi

Harvey I. Saferstein

Harvey I. Saferstein ~ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.