Publications

Past 12 Months

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 2013, held February, 2013.

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

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

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 Fundamentals of Broker-Dealer Regulation 2012, held June, 2012.

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

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 Hedge Fund Enforcement & Regulatory Developments 2012, held October, 2012.

Course Handbook from the program Hedge Funds 2012: Strategies and Structures for an Evolving Marketplace, held September, 2012.

Course Handbook from the program How to Prepare an Initial Public Offering 2013, held April, 2013.

Course Handbook from the program Immigration & Naturalization Institute (45th Annual), held November, 2012.

Course Handbook from the program Institute on Securities Regulation in Europe (Twelfth Annual): Cross-Border Deal-Making in an Uncertain Environment, held January, 2013.

Course Handbook from the program Internal Investigations 2012: How to Protect Your Clients or Companies in the Global, Post-Dodd Frank World, held June, 2012.

Course Handbook from the program Investment Management Institute 2013, held March, 2013.

Course Handbook from the program Mergers & Acquisitions 2013: Trends and Developments, held January, 2013.

Course Handbook from the program Municipal Securities Activity by Broker-Dealers and Advisors 2013, held May, 2013.

Course Handbook from the program New Developments in Securitization 2012, held November, 2012.

Course Handbook from the program Prison Law 2012, held August, 2012.

Course Handbook from the program Private Equity Forum (Thirteenth Annual), held July, 2012.

Course Handbook from the program Securities Offerings 2013: A Public Offering: How It Is Done, held March, 2013.