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Acquiring or Selling the Privately Held Company 2014 -- 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 2014

Recorded on: Jun. 9, 2014

Taken from the Web Program Acquiring or Selling the Privately Held Company 2014 recorded June, 2014 in New York.Lecture Topics  [01:30:11]A. Indemnification B. Special Issues Involved in Acquiring Divisions or Subsidiaries of Larger Companies  [01:30:11]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 ...

Antitrust Institute 2014: Developments & Hot Topics -- Acquisitions and Mergers

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From the program: Antitrust Institute 2014: Developments & Hot Topics

Recorded on: May. 8, 2014

Taken from the Web Program Antitrust Institute 2014: Developments & Hot Topics recorded May, 2014 in New York.Lecture Topics  [01:11:16]Acquisitions and Mergers  [01:11:16] Section 7 of the Clayton Act What you need to know about the Horizontal Merger Guidelines Critical H-S-R reporting updates What are the latest enforcement activities at federal and state levels? Recent decisions involving unilateral and coordinated ...

Basics of Accounting for Lawyers 2014: What Every Practicing Lawyer Needs to Know -- Anatomy of the Balance Sheet

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From the program: Basics of Accounting for Lawyers 2014: What Every Practicing Lawyer Needs to Know

Recorded on: May. 15, 2014

Taken from the Web Program Basics of Accounting for Lawyers 2014: What Every Practicing Lawyer Needs to Know recorded May, 2014 in New York.Lecture Topics  [02:02:20]Anatomy of the Balance Sheet  [02:02:20] 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 ...

Basics of Mutual Funds and Other Registered Investment Companies 2013 -- Fund Marketing and Sale of Fund Shares

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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  [01:01:23]Fund Marketing and Sale of Fund Shares  [01:01:23] How are Fund Shares Distributed? “Funds are sold, not bought”: the role of sales charges and no-load funds, and the future of Rule 12b-1 (or (2)) (let’s do on the last panel) How funds are priced: the critical importance of fund ...

Basics of Mutual Funds and Other Registered Investment Companies 2014 -- Current Trends and Developments

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From the program: Basics of Mutual Funds and Other Registered Investment Companies 2014

Recorded on: Apr. 24, 2014

Taken from the Web Program Basics of Mutual Funds and Other Registered Investment Companies 2014 recorded April, 2014 in New York.Lecture Topics  [01:00:44]Current Trends and Developments  [01:00:44] What are the major trends in the design and distribution of mutual funds? Can ETFs continue to grow at a record pace? Will ETFs ever overtake mutual funds as the dominant pooled investment vehicle for the retail investor? Where ...

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 ...

Building Better Construction Contracts 2014 -- Contract Considerations in International (Transnational) Contracting

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From the program: Building Better Construction Contracts 2014

Recorded on: Jun. 26, 2014

Taken from the Web Program Building Better Construction Contracts 2014 recorded June, 2014 in New York.Lecture Topics  [01:00:14]Contract Considerations in International (Transnational) Contracting  [01:00:14] Overview of some considerations for designers, owners and contractors Boycott clauses FCPA Licensing-Insurance Dispute resolution-Taxes-Currency The purchase price of this segment includes the following article from ...

Cloud Computing 2014: Key Issues and Practical Guidance -- Contract Issues

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From the program: Cloud Computing 2014: Key Issues and Practical Guidance

Recorded on: Jun. 10, 2014

Taken from the Web Program Cloud Computing 2014: Key Issues and Practical Guidance recorded June, 2014 in San Francisco.Lecture Topics  [01:29:55]Contract Issues  [01:29:55] 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’s the range of reasonable outcomes on key provisions in cloud deals?: Privacy, data security and confidentiality ...

Doing Business in and with Emerging Markets 2014 -- Antitrust Considerations in International Deals

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From the program: Doing Business in and with Emerging Markets 2014

Recorded on: Jul. 14, 2014

Taken from the Web Program Doing Business in and with Emerging Markets 2014 recorded July, 2014 in New York.Lecture Topics  [00:59:01]Antitrust Considerations in International Deals  [00:59:01] 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 includes the ...

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 ...

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 ...

Fashion and Retail Law 2014: Going Global and Mobile -- Acquiring Brands and Businesses

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From the program: Fashion and Retail Law 2014: Going Global and Mobile

Recorded on: May. 21, 2014

Taken from the Web Program Fashion and Retail Law 2014: Going Global and Mobile recorded May, 2014 in New York.Lecture Topics  [01:01:06]Acquiring Brands and Businesses  [01:01:06] Surveying the deal landscape Structuring a transaction Due diligence challenges Addressing valuation issues Compensating and motivating founders The purchase price of this segment includes the following article from the Course Handbook ...

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 to Consider 2014 -- Basic Concepts

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From the program: Fundamental Concepts in Drafting Contracts: What Most Attorneys Fail to Consider 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 -- Financial Responsibility, Recordkeeping, and Exams

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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  [01:13:11]Financial Responsibility, Recordkeeping, and Exams  [01:13:11] The Net Capital and Customer Protection Rules Recordkeeping The SEC and FINRA’s exam program The purchase price of this segment includes the following article from the Course Handbook available online: Record-Keeping (August 6, 2012)John ...

Fundamentals of Broker-Dealer Regulation 2014 -- Broker-Dealer Registration and FINRA Membership

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From the program: Fundamentals of Broker-Dealer Regulation 2014

Recorded on: Jun. 24, 2014

Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2014 recorded June, 2014 in New York.Lecture Topics  [01:01:11]Broker-Dealer Registration and FINRA Membership  [01:01:11]Registration as a broker-dealer: The Form BD FINRA’s membership process The membership agreement Registration of Associated Persons Clifford E. Kirsch, Allison ReidThe purchase price of this segment includes the following article from the Course ...

Fundamentals of Investment Adviser Regulation 2014 -- Regulation of Advisers (Part III): Compliance; Recordkeeping and Exams; Trends and Developments

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From the program: Fundamentals of Investment Adviser Regulation 2014

Recorded on: Jul. 17, 2014

Taken from the Web Program Fundamentals of Investment Adviser Regulation 2014 recorded July, 2014 in New York.Lecture Topics  [01:21:07]Regulation of Advisers (Part III): Compliance; Recordkeeping and Exams; Trends and Developments  [01:21:07] The Advisers Act’s recordkeeping requirements The SEC’s 2014 Exam Program Review of recent relevant enforcement activity Current initiatives The purchase price of this segment includes ...

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 2014 -- An Overview of the IPO Registration Process

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From the program: How to Prepare an Initial Public Offering 2014

Recorded on: Apr. 16, 2014

Taken from the Web Program How to Prepare an Initial Public Offering 2014 recorded April, 2014 in New York.Lecture Topics  [01:09:59]An Overview of the IPO Registration Process  [01:09:59] 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 ...

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 2014 -- Commencing the Investigation: Considerations at the Outset

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From the program: Internal Investigations 2014

Recorded on: Jun. 27, 2014

Taken from the Web Program Internal Investigations 2014 recorded June, 2014 in New York.Lecture Topics  [01:34:20]Commencing the Investigation: Considerations at the Outset  [01:34:20] 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 ...

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 ...

New Jersey Basic CLE Marathon 2014 -- Civil Trial Practice - The Trial

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From the program: New Jersey Basic CLE Marathon 2014

Recorded on: May. 28, 2014

Taken from the Web Program New Jersey Basic CLE Marathon 2014 Recorded May 2014 in New YorkLecture TopicCivil Trial Practice - The Trial [01:34:04] 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 Review of significant cases The purchase price of this Web Program segment includes the ...

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

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

Katie M. Lachter

Katie M. Lachter ~ Hinshaw & Culbertson LLP

Alex Hao

Alex Hao ~ Jun He Law Offices