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Advanced Swaps & Other Derivatives 2012

Handbook  Course Handbook

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

Advanced Swaps & Other Derivatives 2013

Handbook  Course Handbook

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

Advanced Swaps & Other Derivatives 2014

Handbook  Course Handbook

Course Handbook from the program Advanced Swaps & Other Derivatives 2014, held October, 2014.

Advanced Venture Capital 2012

Handbook  Course Handbook

Course Handbook from the program Advanced Venture Capital 2012, held December 2012.

Advanced Venture Capital 2013

Handbook  Course Handbook

Course Handbook from the program Advanced Venture Capital 2013, held December, 2013.

Advanced Venture Capital 2014

Handbook  Course Handbook

Course Handbook from the program Advanced Venture Capital 2014, held December, 2014.

Basics of Mutual Funds and Other Registered Investment Companies 2013

Handbook  Course Handbook

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

Basics of Mutual Funds and Other Registered Investment Companies 2014

Handbook  Course Handbook

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2014, held April, 2014.

Broker-Dealer and Adviser Regulatory Compliance Forum 2013

Handbook  Course Handbook

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

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

Treatise  Treatise

Published: November 2010

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  Treatise

Published: November 2011
Last Updated: July 2013

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 ...

Fundamentals of Broker-Dealer Regulation 2012

Handbook  Course Handbook

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

Fundamentals of Broker-Dealer Regulation 2013

Handbook  Course Handbook

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

Fundamentals of Broker-Dealer Regulation 2014

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Broker-Dealer Regulation 2014, held June, 2014.

Fundamentals of Investment Adviser Regulation 2012

Handbook  Course Handbook

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

Fundamentals of Investment Adviser Regulation 2013

Handbook  Course Handbook

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

Fundamentals of Investment Adviser Regulation 2014

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Investment Adviser Regulation 2014, held July, 2014.

Fundamentals of Mutual Funds and Exchange-Traded Funds 2012

Handbook  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

Handbook  Course Handbook

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

Fundamentals of Swaps & Other Derivatives 2013

Handbook  Course Handbook

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

Fundamentals of Swaps & Other Derivatives 2014

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Swaps & Other Derivatives 2014, held October, 2014.

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

Handbook  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

Handbook  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.

Global Capital Markets & the U.S. Securities Laws 2014: Raising Capital in an Evolving Regulatory Environment

Handbook  Course Handbook

Course Handbook from the program Global Capital Markets & the U.S. Securities Laws 2014: Raising Capital in an Evolving Regulatory Environment, held June, 2014.

Hedge Fund Compliance & Regulation 2013

Handbook  Course Handbook

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

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