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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.

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.

Broker-Dealer and Adviser Regulatory Compliance Forum 2014

Handbook  Course Handbook

Course Handbook from the program Broker-Dealer and Adviser Regulatory Compliance Forum 2014, held February, 2014.

Broker-Dealer Regulation

Treatise  Treatise

Published: November 2011
Last Updated: May 2013

Updated to include coverage of the significant FINRA and SEC responses to the economic downturn, the new second edition of Broker-Dealer Regulation provides you with a complete and practical understanding of the many requirements of this highly regulated area. This two-volume work ensures that you satisfy SEC/SRO standards governing your firm, with detailed coverage of: Registration reporting and record-keeping rules Suitability and best execution ...

Broker/Dealer Regulation and Enforcement 2012

Handbook  Course Handbook

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

Broker/Dealer Regulation and Enforcement 2013

Handbook  Course Handbook

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

Broker/Dealer Regulation and Enforcement 2014

Handbook  Course Handbook

Course Handbook from the program Broker/Dealer Regulation and Enforcement 2014, held October, 2014.

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 ...

Drafting Securities Filings 2012

Handbook  Course Handbook

Course Handbook from the program Drafting Securities Filings 2012, held September, 2012.

ERISA Fiduciary Investment Basics 2013

Handbook  Course Handbook

Course Handbook from the program ERISA Fiduciary Investment Basics 2013, held January, 2013.

ERISA Fiduciary Investment Basics 2014

Handbook  Course Handbook

Course Handbook from the program ERISA Fiduciary Investment Basics 2014, held January, 2014.

Financial Institutions Answer Book 2013: Law - Governance - Compliance

Treatise  Treatise

Published: June 2013

Reflecting the many statutory and regulatory changes made since the beginning of the recent economic downturn, the newly published Financial Institutions Answer Book 2013 provides, in a handy Q&A format, a comprehensive overview of the complex federal requirements regulating financial institutions in the United States. Every aspect of a financial institution life cycle is covered, from understanding the differences in regulation based on what ...

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.

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