Publications

Corporate & Securities

Enforcement

Course Handbook from the program Advanced Swaps & Other Derivatives 2012, held October 2012.

Course Handbook from the program Asset Based Financing Strategies 2013, held March, 2013.

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2013, held April, 2013.

Course Handbook from the program Broker-Dealer and Adviser Regulatory Compliance Forum 2012, held February, 2012.

Course Handbook from the program Broker-Dealer and Adviser Regulatory Compliance Forum 2013, held February, 2013.

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2012, held October, 2012.

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2013, held October, 2013.

Course Handbook from the program Corporate Governance - A Master Class 2012, held February, 2012

Course Handbook from the program Corporate Governance - A Master Class 2013, held February, 2013.

Course Handbook from the program Corporate Political Activities 2013, held September, 2013.

Course Handbook from the program Doing Deals 2012: The Art of M&A Transactional Practice, held March, 2012.

Course Handbook from the program Enforcement 2012: Multi-Agency Enforcement Efforts, held April, 2012.

Course Handbook from the program Enforcement 2013: Perspectives from Government Agencies, held April, 2013.

Course Handbook from the program Financial Services Industry Regulatory Compliance & Ethics Forum 2012, held October, 2012.

Course Handbook from the program Financial Services Industry Regulatory Compliance & Ethics Forum 2013, held October, 2013.

Course Handbook from the program Fundamentals of Broker-Dealer Regulation 2012, held June, 2012.

Course Handbook from the program Fundamentals of Broker-Dealer Regulation 2013, held June, 2013.

Course Handbook from the program Fundamentals of Investment Adviser Regulation 2012, held July, 2012.

Course Handbook from the program Fundamentals of Investment Adviser Regulation 2013, held July, 2013.

Course Handbook from the program Fundamentals of Mutual Funds and Exchange-Traded Funds 2012, held June, 2012.

Course Handbook from the program Fundamentals of Swaps & Other Derivatives 2012, held October, 2012.

Course Handbook from the program Global Capital Markets & the U.S. Securities Laws 2012: Raising Capital in an Evolving Regulatory Environment, held April, 2012.

Course Handbook from the program Global Capital Markets & the U.S. Securities Laws 2013: Raising Capital in an Evolving Regulatory Environment, held June, 2013.

Course Handbook from the program Going Private 2012: Doing the Deal Right, held February, 2012.  

Course Handbook from the program Hedge Fund and Private Equity Enforcement and Regulatory Developments Fall 2013, held November, 2013.