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Fundamentals of Broker-Dealer Regulation 2012

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From the program: Fundamentals of Broker-Dealer Regulation 2012

Released on: Jul. 9, 2012

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform.  At the same time, FINRA continues to overhaul its rulebook as part of its Rulebook Consolidation process.  This program will provide you with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation.  Learn ...

Fundamentals of Investment Adviser Regulation 2012

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From the program: Fundamentals of Investment Adviser Regulation 2012

Released on: Aug. 1, 2012

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers’ operations.  In fact, the SEC has put the regulation of investment advisers under the microscope.  At the same time, Congress is considering financial regulatory reform that could impose a new self-regulatory organization in charge of adviser regulation.  In ...

Fundamentals of Mutual Funds and Exchange-Traded Funds 2012

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From the program: Fundamentals of Mutual Funds and Exchange-Traded Funds 2012

Released on: Jun. 26, 2012

This program is designed to provide attendees with a solid foundation in the legal, regulatory and operational issues affecting the $12 trillion mutual fund industry, including the emerging exchange-traded fund industry.  Learn how Congress, regulators, markets, and the courts have shaped the formation and structure of this industry.  You will also learn about the impact of the financial crisis on the mutual fund and exchange-traded ...

Fundamentals of Patent Litigation 2012

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From the program: Fundamentals of Patent Litigation 2012

Released on: Jun. 20, 2012

Are you a litigator and have always wondered how patent litigation differs from your practice?  Or maybe you have considered pursuing patent litigation but first wanted to find out how it differs from other types of commercial litigation?  This exciting program will explore what makes patent litigation different from other types of litigation, from the Rule 11 pre-filing investigation through the appeal to the Federal Circuit.  You ...

Fundamentals of Swaps & Other Derivatives 2012

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From the program: Fundamentals of Swaps & Other Derivatives 2012

Released on: Oct. 29, 2012

Over-the-counter (OTC) derivatives are key elements in many of our financial markets. The Dodd-Frank Act is substantially changing how these important instruments are regulated and transacted. This program will introduce you to both the instruments and their new environment. A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference asset or entity between the parties thereto. Derivatives ...

Global Corporate Social Responsibility: Strategies and Collaborations 2012

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From the program: Global Corporate Social Responsibility: Strategies and Collaborations

Released on: Oct. 24, 2012

Increasingly, in-house counsel, law firms, and NGOs are collaborating across borders on a range of corporate social responsibility initiatives, including pro bono representations to impact complex social problems.  This program will address perspectives and new models for collaborations, as well as strategic alignments with private sector interests. Lecture Topics  [Total time 02:54:07] Segments with an asterisk (*) are available only ...

Global Trademark Search and Application Workshop 2013

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From the program: Global Trademark Search and Application Workshop 2013

Released on: May. 29, 2013

A faculty of domestic and international legal experts will provide practical guidance for the trademark search and application process in the U.S. and abroad.  Using real-world examples, this practice-based, hands-on workshop will get you involved and provide takeaway tips that can be put into use in daily practice immediately.  Learn about the differences and similarities of differing search strategies here and abroad using interactive ...

Health Care and Life Sciences Law 2012

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From the program: Health Care and Life Sciences Law 2012

Released on: Jan. 2, 2013

Our expert faculty of attorneys representing the health care and life sciences industries, government regulators, and policy makers will examine the current state of health care and life sciences law and what the future might hold. This program will cover the broad range of issues confronting you and your clients today: structuring compliant relationships with health care providers and clinical investigators; promotional guidelines affecting FDA-regulated ...

How to Prepare an Initial Public Offering 2013

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

Released on: Apr. 24, 2013

Understanding the IPO process is an essential skill for both legal and business advisors.  With the improvement in the markets, IPOs are happening with increasing frequency.  In addition, last April, Congress enacted  IPO “on ramp” provisions in the JOBS Act that made becoming a public company even easier for “emerging growth companies,” which represent almost 90% of the IPO market.  If you have not worked on an IPO recently, now ...

How to Read Financial Statements 2013

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From the program: How to Read Financial Statements 2013

Released on: Apr. 3, 2013

Financial statements provide great insight into the financial activities of a corporation.  For some corporations, these statements may be complex and can require extensive review.  Attorneys are often involved in negotiating, structuring, or litigating matters where understanding a corporation’s financial statements is an essential element of the overall engagement. In this practical program, a distinguished panel of experts ...

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

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

Released on: Jul. 10, 2012

In today's uncertain economic, legal and regulatory environment, companies, their executives, and their counsel need to be proactive in identifying risks and remedying potential issues. Knowing how to conduct efficient and effective internal investigations is key to protecting your clients or company.  Using a real-world hypothetical fact pattern throughout the day, expert panels review the many considerations and issues that can and do arise ...

IP Enforcement and Litigation 2013: Criminal and Civil Update

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From the program: IP Enforcement and Litigation 2013: Criminal and Civil Update

Released on: Feb. 15, 2013

This program is designed to bring you up to date on both civil and criminal enforcement efforts of intellectual property.  From the physical world to the internet, brands are not only building their intellectual property, but are heavily protecting it.  In today’s billion dollar industry of infringement and piracy, it is critical to protect IP rights.  This program will place you in a better position to think outside of the box ...

IP Issues in Business Transactions 2013

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From the program: IP Issues in Business Transactions 2013

Released on: Mar. 12, 2013

This comprehensive program will provide an in-depth understanding of intellectual property issues that arise in corporate transactions, including the strategic role of intellectual property in a company and the many unique considerations that come into play. Learn how to assess intellectual property as a strategic asset and how to evaluate opportunities to monetize IP while avoiding costly missteps. Other essential topics addressed include IP portfolio ...

JOBS Act 2012: What You Need to Know Now

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From the program: JOBS Act 2012: What You Need to Know Now

Released on: Jun. 13, 2012

On April 5, 2012, the Jumpstart Our Business Startups (JOBS) Act was signed into law, bringing about extraordinary changes to the regulation of capital formation in the United States. The JOBS Act: (1) creates a new regulatory “on ramp” for emerging growth companies going public, with confidential SEC Staff review of draft IPO registration statements, reduced disclosure requirements and freer “test the waters” and research ...

Judges' Pet Peeves 2012: Tips From the Bench on Trial Practice

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From the program: Judges' Pet Peeves 2012: Tips From the Bench on Trial Practice

Released on: Oct. 19, 2012

Do you wonder what the judges really think about your case? In this candid program, you will hear - directly from the judges - how they view trial practice and how lawyers can help (or sabotage) their cases. Lecture Topics  [Total time 02:04:05] Segments with an asterisk (*) are available only with the purchase of the entire program. Introduction* [00:02:03] Mark C. Zauderer Judicial Pet Peeves in ...

Municipal Law Institute 2012 (12th Annual)

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From the program: Municipal Law Institute (12th Annual)

Released on: Jul. 27, 2012

Regardless of experience level, municipal attorneys practicing in a city law department will want to view this Institute, which equips you with analyses of important developments, emerging legal issues and best practices in the field of municipal law. Lecture Topics  [Total time 06:11:01] Segments with an asterisk (*) are available only with the purchase of the entire program. Introduction* [00:07:11] Martha J. Mullen, ...

Negotiating Commercial Leases: How Owners & Corporate Occupants Can Avoid Costly Errors 2012

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From the program: Negotiating Commercial Leases: How Owners & Corporate Occupants Can Avoid Costly Errors 2012

Released on: Nov. 2, 2012

Leases are the building blocks of value for all real estate, and whether your client is entering into a lease, acquiring a leasehold, purchasing a Ground Lease or investing in or lending on properties, knowing the “Commercial Lease” in and out is a must. Knowing the current commercial leasing market trends, hot topics and current schemes is the most important investment one can make. Leases are long-term investments and your client or ...

New Developments in Residential Loan Servicing: State, Federal and Programmatic Laws, Regulations and Standards 2013 (Free)

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From the program: New Developments in Residential Loan Servicing: State, Federal and Programmatic Laws, Regulations and Standards (Free)

Released on: May. 20, 2013

The rules of the road for residential mortgage servicing have changed significantly since the crash in 2008. Since then, a wide variety of agencies, including Congress, federal banking regulators, state attorneys general and the California legislature, have all sought to improve loan servicers’ practices, particularly in connection with the loss mitigation process. The result is a series of overlapping rules, laws and regulations –  from the ...

New Jersey Basic CLE Marathon 2011

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From the program: New Jersey Basic CLE Marathon 2011

Released on: Jun. 14, 2011

Satisfy part of the newly instated mandatory continuing legal education requirements in New Jersey and hone your legal professionalism by viewing PLI’s New Jersey Basic CLE Marathon program on May 31, 2011.  In accordance with New Jersey’s requirements, this program will include New Jersey-specific instruction and discussion on topics authorized by the Supreme Court of New Jersey Board of Continuing Legal Education. *Transitional ...

New Jersey Basic CLE Marathon 2012

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From the program: New Jersey Basic CLE Marathon 2012

Released on: Jun. 12, 2012

Satisfy part of the newly instated mandatory continuing legal education requirements in New Jersey and hone your legal professionalism with PLI’s New Jersey Basic CLE Marathon program.  In accordance with New Jersey’s requirements, this program will include New Jersey-specific instruction and discussion on topics authorized by the Supreme Court of New Jersey Board of Continuing Legal Education. Lecture Topics  [Total time 06:13:38] Segments ...

New York CPLR 2013

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From the program: New York CPLR 2013

Released on: Apr. 26, 2013

Every year, the New York Courts interpret, and re-interpret, the important procedural rules that govern litigation in New York State: the Civil Practice Law and Rules. One of the most important aspects of the procedural rules for litigators is the ongoing evolution of the law with respect to the very unforgiving statute of limitations.  The Courts lack the power to extend the applicable statute, or to exercise discretion to assist a tardy plaintiff ...

Nonprofit Organizations 2012: Governance, Compensation, and Form 990 Reporting Issues

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From the program: Nonprofit Organizations 2012: Governance, Compensation, and Form 990 Reporting Issues

Released on: Dec. 28, 2012

Nonprofit organizations today face greater scrutiny and complex regulatory guidelines.  Nonprofit Organizations 2012: Governance, Compensation, and Form 990 Reporting Issues will bring you up-to-date on the latest developments and unique financial and regulatory issues that impact the nonprofit sector. Lecture Topics  [Total time 03:01:48] Segments with an asterisk (*) are available only with the purchase of the entire program.  ...

Nuts and Bolts of Corporate Bankruptcy 2012

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From the program: Nuts and Bolts of Corporate Bankruptcy 2012

Released on: Nov. 20, 2012

Businesses in financial distress are not an unusual sight these days, and as a result, it is essential for attorneys of all levels and in all practice areas to become familiar with the fundamental tenets of bankruptcy law. Whether you are just starting out in your career, thinking about broadening your practice area to include this field, or want to be able to spot the issues when advising your clients, this program will provide you with an essential ...

Nuts and Bolts of Tax Penalties 2013: A Primer on the Standards, Procedures and Defenses Relating to Civil and Criminal Tax Penalties

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From the program: Nuts and Bolts of Tax Penalties 2013: A Primer on the Standards, Procedures and Defenses Relating to Civil and Criminal Tax Penalties

Released on: Mar. 15, 2013

The number of tax penalties assessed by the Internal Revenue Service has increased dramatically over the past several years.  For example, assessments of accuracy-related penalties against individuals and corporations rose from 59,708 in 2005 to 472,961 in 2010, a nearly 800% increase!  At the same time, the Internal Revenue Service is focusing more than ever before on the conduct of professionals, through return preparer penalties, Circular ...

Nuts & Bolts of State and Local Tax 2013

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From the program: Nuts & Bolts of State and Local Tax 2013

Released on: Apr. 11, 2013

State and local taxation has become increasingly important. The state and local tax liabilities of many companies exceed their federal tax liabilities.PLI is delighted to present this essential program in which leading state and local tax experts will describe basic principles of state and local taxation and explore cutting-edge issues, developments and trends.Lecture Topics  [Total time 03:39:31] Segments with an asterisk (*) are available ...

Featured Faculty/Authors
Lisa J. Sotto

Lisa J. Sotto ~ Hunton & Williams LLP

David W. Pollak

David W. Pollak ~ Morgan, Lewis & Bockius LLP

Katie M. Lachter

Katie M. Lachter ~ Hinshaw & Culbertson LLP