PLI: Publications and Financial Products

This past year has seen some enormous changes in the law. The sweeping Dodd-Frank Act, the various stimulus legislation, and the regulatory changes by the SEC, the Fed, and the U.S. Treasury have had a significant impact on many legal practice areas such as business, corporate, securities, banking, tax, and employment. Dodd-Frank Wall Street Reform and Consumer Protection Act – A Summary provides a practical overview of the historic new ...

Exempt and Hybrid Securities Offerings

Treatise

Published: November 2011
Last Updated: December 2012

Exempt transactions and hybrid transactions are among the key financing methodologies in the U.S. capital markets. Exempt and Hybrid Securities Offerings, Second Edition provides you with comprehensive guidance on how to structure these offerings. Packed with checklists, transactional timelines, SEC guidance, and a wealth of time-saving sample documents, Exempt and Hybrid Securities Offerings describes the relative advantages and drawbacks of the ...

Fundamental of Swaps & Other Derivatives 2013

Course Handbook

Course Handbook from the program Fundamental of Swaps & Other Derivatives 2013, held October, 2013.

Fundamentals of Broker-Dealer Regulation 2012

Course Handbook

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

Fundamentals of Broker-Dealer Regulation 2013

Course Handbook

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

Fundamentals of Investment Adviser Regulation 2012

Course Handbook

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

Fundamentals of Investment Adviser Regulation 2013

Course Handbook

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

Fundamentals of Mutual Funds and Exchange-Traded Funds 2012

Course Handbook

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

Fundamentals of Swaps & Other Derivatives 2012

Course Handbook

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

Global Capital Markets & the U.S. Securities Laws 2012: Raising Capital in an Evolving Regulatory Environment

Course Handbook

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

Global Capital Markets & the U.S. Securities Laws 2013: Raising Capital in an Evolving Regulatory Environment

Course Handbook

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

Hedge Fund Compliance & Regulation 2013

Course Handbook

Course Handbook from the program Hedge Fund Compliance & Regulation 2013, held January, 2013.

Hedge Fund Management 2013

Course Handbook

Course Handbook from the program Hedge Fund Management 2013, held October, 2013.

Hedge Fund Registration and Compliance 2012

Course Handbook

Course Handbook from the program Hedge Fund Registration and Compliance 2012, held January, 2012.

Hedge Fund Regulation

Treatise

Published: November 2012
Last Updated: May 2013

”For securities attorneys, Hedge Fund Regulation may become the next favorite in deciphering the tangled web of hedge funds.” —Legal Information Alert With scores of enforcement actions over the past six years involving hedge funds, high-profile insider trader cases implicating hedge fund managers, the sweeping provisions of the new Dodd-Frank Act, and the resulting proposed SEC and CFTC rules that affect hedge funds, ...

Hedge Funds 2012: Strategies and Structures for an Evolving Marketplace

Course Handbook

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

How to Prepare an Initial Public Offering 2012

Course Handbook

Course Handbook from the program How to Prepare an Initial Public Offering 2012, held March 1st 2012

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Featured Faculty/Authors

Lisa J. Sotto ~ Hunton & Williams LLP

David W. Pollak ~ Morgan, Lewis & Bockius LLP

Katie M. Lachter ~ Hinshaw & Culbertson LLP

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Showing 1 - 25 of 53 Results

ABCs of Mutual Funds 2009

Advanced Swaps & Other Derivatives 2012

Advanced Swaps & Other Derivatives 2013

Advanced Venture Capital 2012

Advanced Venture Capital 2013

Basics of Mutual Funds and Other Registered Investment Companies 2013

Broker-Dealer and Adviser Regulatory Compliance Forum 2012

Broker-Dealer and Adviser Regulatory Compliance Forum 2013

Dodd-Frank Wall Street Reform and Consumer Protection Act--A Summary

Exempt and Hybrid Securities Offerings

Fundamental of Swaps & Other Derivatives 2013

Fundamentals of Broker-Dealer Regulation 2012

Fundamentals of Broker-Dealer Regulation 2013

Fundamentals of Investment Adviser Regulation 2012

Fundamentals of Investment Adviser Regulation 2013

Fundamentals of Mutual Funds and Exchange-Traded Funds 2012

Fundamentals of Swaps & Other Derivatives 2012

Global Capital Markets & the U.S. Securities Laws 2012: Raising Capital in an Evolving Regulatory Environment

Global Capital Markets & the U.S. Securities Laws 2013: Raising Capital in an Evolving Regulatory Environment

Hedge Fund Compliance & Regulation 2013

Hedge Fund Management 2013

Hedge Fund Registration and Compliance 2012

Hedge Fund Regulation

Hedge Funds 2012: Strategies and Structures for an Evolving Marketplace

How to Prepare an Initial Public Offering 2012

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