Seminar  Program

49th Annual Institute on Securities Regulation


Select a Location:

What You Will Learn

  • IPOs and public offerings by seasoned issuers
  • Private offerings and public offerings by smaller reporting companies
  • Legislative and regulatory developments in a new administration
  • Focus on disclosure: regulatory action and practical considerations
  • What’s new in accounting and financial reporting?
  • Ethical issues in transactional settings
  • Taking a closer look at securities opinions
  • Securities law grab bag: your frequent questions answered
  • Engagement today:Revisiting the relationship with shareholders
  • Hot topics at the Division of Corporation Finance
  • Delaware update: The latest legislative and judicial developments
  • M&A roundup: Today’s deal landscape
  • Roundtable: what’s keeping in-house counsel up at night?
  • Government enforcement priorities: what’s new, what’s hot and what’s not?
  • The defense perspective: the many shades of grey
  • Private securities litigation: navigating the latest challenges
  • Crisis management: the advanced course
  • Ethics in the enforcement context: spotting and solving the issues

Special Features

  • Receive practical take-away points from each panel
  • Three full days to network with hundreds of business colleagues and faculty
  • Earn two hours of Ethics Credit
  • Cocktail reception on day 1 and lunch on day 2 uncluded
  • Be part of the most highly attended annual Securities Institute nationwide

Who Should Attend

This three-day event is appropriate for attorneys and allied professionals at all levels.

“ The most useful conference every year.”

“ Solid topics and delivery.”

– 2016 Attendees


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:30 p.m.

9:00 Welcome and Opening Remarks
Speakers: David M. Lynn, Carmen J. Lawrence, Keith F. Higgins

9:15 Keynote Speaker
Speaker: Hon. Jay Clayton

9:45 IPOs and Public Offerings by Seasoned Issuers
• IPOs:  What’s new in the new issue market?  Current practices for confidential filings and testing the waters
• Securities Offerings Reform 2.0? – What’s on the Commission’s agenda for IPOs and seasoned issuers?
• At-the-Market Offerings – theory and practice
• Developments in debt financings – make-whole premiums, Marblegate and the Trust Indenture Act
Moderator: Deanna L. Kirkpatrick
Speakers: Joshua N. Korff, Ian D. Schuman, Jeffrey R. Vetter, Robert C. Vincent

10:45 Networking Break

11:00 Private Offerings and Public Offerings by Smaller Reporting Companies
• General solicitation and private offerings under Rule 506
• Integration of private to private and private to public offerings – what will it take to fix the uncertainty?
• Regulation A and Crowdfunding – are they working and where do they work the best?
• Public capital raising by smaller reporting companies – what’s on the reform agenda?
Moderator: Gordon K. Davidson
Speakers: Sebastian Gomez Abero, Sara Hanks, Anna T. Pinedo, Gregory C.Yadley

12:00 Lunch (on your own)

1:15 Legislative and Regulatory Developments in a New Administration
• Dodd-Frank developments:  Sorting through what’s dead, what’s alive, and what’s on life support
• Status of legislative and administrative actions, including Financial Choice Act of 2016
• Priorities for the new Commission
• Private ordering in a potentially less regulatory climate
Moderator: Meredith B. Cross
Speakers: Amy Borrus, Lona Nallengara, Brian P. O’Shea

2:15 Focus on Disclosure: Regulatory Action and Practical Considerations
• The FAST Act report and its implementation
• Where do things stand on the disclosure effectiveness project with a new Commission?
• Financial institution disclosures and Industry Guide 3
• Focus on MD&A and the materiality standard
• Sustainability disclosures
Moderator: Thomas J. Kim
Speakers: Brian V. Breheny, Karen J. Garnett, Katayun I. Jaffari, Alison Zoellner

3:15 Networking Break

3:30 What’s New in Accounting and Financial Reporting?
• Where are we with non-GAAP financial measures?
• Preparing for new GAAP:  revenue recognition, leasing and financial instruments
• Drilling down on contingencies
• PCAOB update, including new expanded auditor's report standard and new Form AP
• Lessons from SEC comment letters
Moderator: John W. White
Speakers: Wesley R. Bricker, Loretta V. Cangialosi, Michael J. Gallagher, Mark Kronforst
(CPE Field of Study: Accounting)

4:30 Ethical Issues in Transactional Settings
• Representing the corporate entity
• Protecting the attorney-client privilege and client confidences
• Lawyers’ ethical obligations when reporting to the board of directors and management
• Lawyers as gatekeepers
Moderator: John F. Olson
Speakers: Paul L. Choi, Ralph C. Ferrara, Jennifer A. Paradise

5:30  Adjourn

Cocktail Reception



Day Two: 9:00 a.m. - 5:15 p.m.

9:00 Taking a Closer Look at Securities Opinions
• What is customary practice and how do I find it?
• How are securities opinions different?
• Understanding the SEC guidance on securities filings opinions
• Why are resale opinions dangerous to your health?
• What is different about opinions on debt tender offers?
• Special considerations for cross-border capital markets opinions
Moderator: Stanley Keller
Speakers: Catherine T. Dixon, Nicolas Grabar, Ettore A. Santucci

10:15 Securities Law Grab Bag: Your Frequent Questions Answered
• Our answers and analysis for important securities and compliance questions
• Avoiding the pitfalls in the offering process
• Making the right disclosure decisions under common (and not so common) scenarios
• Approaching the compliance function: our best practice answers
• Frequent governance considerations and the best ways to handle them
• Do we have to close the trading window?
Moderator: Steven E. Bochner
Speakers: Martin P. Dunn, Alan L. Dye, David A. Katz

11:15 Networking Break

11:30 Engagement Today: Revisiting the Relationship with Shareholders
• The tide of activism: is it advancing or receding?
• Settlement of proxy contests and threatened contests
• Working with activist representatives on the board
• The latest proxy season developments and best practices
• The modern era of the shareholder proposals: where do we go next?
• Executive compensation considerations for 2018
• Shareholder engagement practice: have we matured?
Moderator: Keir D. Gumbs
Speakers: Michele M. Anderson, Mark A. Borges, Ronald O. Mueller, Christopher A. Wightman


12:30 Lunch (Provided)
Attendees will help themselves to lunch and then take their seats in the conference room.


1:00 Hot Topics at the Division of Corporation Finance
• Corp Fin rulemaking and agenda
• New and revised interpretive positions
• The latest disclosure trends and frequent areas of comment
• Tips on working with the Review staff
Moderator:  David M. Lynn
Speakers: William H. Hinman, Shelley E. Parratt, Robert Evans III

2:00 Delaware Update: The Latest Legislative and Judicial Developments
• A review of significant Delaware judicial decisions
• The evolving standards of fiduciary duty before and after shareholder approval
• Considerations with LLCs and other alternative entities
• Recent developments in appraisal law
Moderator: Lawrence A. Hamermesh
Speakers: Michael A. Pittenger, Srinivas M. Raju, Patricia O. Vella

3:00 Networking Break

3:15 M&A Roundup: Today’s Deal Landscape
• Advising the Board: standards of review, special committees, conflicts and more
• Structuring the deal: the latest trends
• Managing the risks: addressing financing, execution, regulatory and other key deal risks
• Developments in Williams Act disclosures
• Transaction liability protection: considering the alternatives
• Due diligence and forensics for the modern M&A transaction
Moderator: Steven A. Rosenblum
Speakers: Audra D. Cohen, Faiza J. Saeed, Ted Yu
(CFE Field of Study: Fraud)


4:15 Roundtable: What’s Keeping In-House Counsel Up at Night?
• Cybersecurity: What you don’t know can hurt you
• Fintech developments: How they are reshaping our financial world
• Managing a cross-border legal compliance program
• The role of reputation management in the legal and compliance process
• Deregulation and its implications
• The moving target of “good” corporate governance
Moderator: Richard H. Walker
Speakers: David Detweiler, Matthew Furman, Alice G. Givens
(CFE Field of Study: Fraud)
(IAPP Privacy credit for Privacy Professionals)

 

5:15  Adjourn 



Day Three: 9:00 a.m. - 4:30 p.m.

9:00 Keynote Speaker
Speaker: Hon. Mary Jo White

9:45 Government Enforcement Priorities: What’s New, What’s Hot and What’s Not?
• Major cases and current enforcement priorities
• Cybersecurity
• FCPA
• Insider trading
• Accounting and disclosure
Moderator: Colleen P. Mahoney
Speakers: Stephanie Avakian, Telemachus P. Kasulis, James McDonald
(CFE Field of Study: Fraud)
(IAPP Privacy credit for Privacy Professionals)


10:45 Networking Break

11:00 The Defense Perspective: The Many Shades of Gray
• Impact of the Trump administration
• Civil and criminal enforcement priorities and trends
• Special considerations in internal investigations
• Managing multi-agency and cross-border investigations
• Legal and Policy Update:  administrative proceedings; disgorgement,  penalties
Moderator:  Linda Chatman Thomsen
Speakers: George S. Canellos, Andrew J. Ceresney, Dixie L. Johnson, Robert S Khuzami
(CFE Field of Study: Fraud)

12:00 Lunch (on your own)

1:15 Private Securities Litigation: Navigating the Latest Challenges
• Key considerations in bringing, defending and resolving private securities litigation
• Implications of Leidos Inc. v. Indiana Public Retirement System
• Application of  Janus, Halliburton II, Omnicare and Morrison
• Current issues in D&O insurance
• Recent developments in shareholder derivative actions
Moderator: Brad S. Karp
Speakers: Adam S. Hakki, John J. Huber, Elaine H. Mandelbaum, Jonathan K. Youngwood

2:15 Crisis Management: The Advanced Course
• Real-world hypotheticals
• Crisis prevention
• Advance planning and training
• Managing the crisis
• Communicating with internal and external constituencies
Moderator: Stephen M. Cutler
Speakers: Kathryn H. Ruemmler, Theodore V. Wells, Jr., Hon. Mary Jo White, Gerson A. Zweifach

3:15 Networking Break

3:30 Ethics in the Enforcement Context: Spotting and Solving the Issues
• Multiple representation  issues
• Ethical pitfalls in conducting internal investigations
• Privilege waiver issues
• Conflicts of interest
• SOX Section 307: Rules of Professional Responsibility For Attorneys
• Lawyers as whistleblowers
Moderator: Simon M. Lorne
Speakers: David M. Becker, William R. McLucas, Robert H. Mundheim, James Q. Walker

4:30 Adjourn

Co-Chair(s)
Keith F. Higgins ~ Ropes & Gray LLP
Carmen J. Lawrence ~ King & Spalding
David M. Lynn ~ Jenner & Block LLP
Moderator(s)
Steven E. Bochner ~ Wilson Sonsini Goodrich & Rosati
Meredith B. Cross ~ Wilmer Cutler Pickering Hale and Dorr LLP
Stephen M. Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Gordon K. Davidson ~ Fenwick & West LLP
Keir D. Gumbs ~ Covington & Burling LLP
Lawrence A. Hamermesh ~ Ruby R. Vale Professor of Corporate and Business Law, Institute of Delaware Corporate and Business Law, Widener University Delaware Law School
Brad S. Karp ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
Stanley Keller ~ Locke Lord LLP
Thomas J. Kim ~ Sidley Austin LLP
Deanna L. Kirkpatrick ~ Davis Polk & Wardwell LLP
Simon M. Lorne ~ Vice Chairman and Chief Legal Officer, Millennium Management LLC
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
John F. Olson ~ Gibson, Dunn & Crutcher LLP
Steven A. Rosenblum ~ Wachtell, Lipton, Rosen & Katz
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Richard H. Walker ~ King & Spalding
John W. White ~ Cravath, Swaine & Moore LLP
Speaker(s)
Sebastian Gomez Abero ~ Chief, Office of Small Business Affairs, U.S. Securities and Exchange Commission
Michele M. Anderson ~ Associate Director, Legal, Division of Corporation Finance, U.S. Securities and Exchange Commission
Stephanie Avakian ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
David M. Becker ~ Cleary Gottlieb Steen & Hamilton LLP
Mark A. Borges ~ Principal, Compensia, Inc.
Amy Borrus ~ Deputy Director, Council of Institutional Investors
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Wesley R. Bricker ~ Chief Accountant, U.S. Securities and Exchange Commission
George S. Canellos ~ Milbank, Tweed, Hadley & McCloy LLP
Loretta V. Cangialosi ~ Senior Vice President and Controller, Pfizer Inc.
Andrew J. Ceresney ~ Debevoise & Plimpton LLP
Paul L. Choi ~ Sidley Austin LLP
Hon. Jay Clayton ~ Chairman, U.S. Securities and Exchange Commission
Audra D. Cohen ~ Sullivan & Cromwell LLP
David Detweiler ~ Executive Vice President and General Counsel, Volkswagen Group of America, Inc.
Catherine T. Dixon ~ Weil, Gotshal & Manges LLP
Martin P. Dunn ~ Morrison & Foerster LLP
Alan L. Dye ~ Hogan Lovells
Robert Evans III ~ Deputy Director, Legal and Regulatory Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission
Ralph C. Ferrara ~ Proskauer Rose LLP
Matthew Furman ~ General Counsel, Willis Towers Watson
Michael J. Gallagher ~ Managing Partner, Assurance Quality, PwC
Karen J. Garnett ~ Associate Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission
Alice G. Givens ~ Vice President-General Counsel, Chief Compliance Officer and Corporate Secretary, Ruth's Hospitality Group, Inc.
Nicolas Grabar ~ Cleary Gottlieb Steen & Hamilton LLP
Adam S. Hakki ~ Shearman & Sterling LLP
Sara Hanks ~ Co-Founder and Chief Executive Officer, CrowdCheck,Inc.
William H. Hinman ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
John J. Huber ~ Affiliate, Forensic and Litigation Consulting, FTI Consulting Inc.
Katayun I. Jaffari ~ Ballard Spahr LLP
Dixie L. Johnson ~ King & Spalding
Telemachus P. Kasulis ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney's Office, Southern District of New York
David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Robert Khuzami ~ Kirkland & Ellis LLP
Joshua N. Korff ~ Kirkland & Ellis LLP
Mark Kronforst ~ Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
Elaine H. Mandelbaum ~ Managing Director and General Counsel, Litigation and Regulatory Enforcement, Citi Institutional Clients Group
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
William R. McLucas ~ Wilmer Cutler Pickering Hale and Dorr LLP
Ronald O. Mueller ~ Gibson, Dunn & Crutcher LLP
Robert H. Mundheim ~ Shearman & Sterling LLP
Lona Nallengara ~ Shearman & Sterling LLP
Brian P. O'Shea ~ Senior Director, Center for Capital Markets Competitiveness
Jennifer A. Paradise ~ White & Case LLP
Shelley E. Parratt ~ Deputy Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission
Anna T. Pinedo ~ Morrison & Foerster LLP
Michael A. Pittenger ~ Potter Anderson & Corroon LLP
Srinivas M. Raju ~ Richards, Layton & Finger, PA
Kathryn H. Ruemmler ~ Latham & Watkins LLP
Faiza J. Saeed ~ Cravath, Swaine & Moore LLP
Ettore A. Santucci ~ Goodwin Procter LLP
Ian D. Schuman ~ Latham & Watkins LLP
Patricia O. Vella ~ Morris, Nichols, Arsht & Tunnell LLP
Jeffrey R. Vetter ~ Fenwick & West LLP
Robert C. Vincent ~ Managing Director and Associate General Counsel, JPMorgan Chase
James Q. Walker ~ Richards Kibbe & Orbe LLP
Theodore V. Wells, Jr. ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
Hon. Mary Jo White ~ Debevoise & Plimpton LLP
Christopher A. Wightman ~ Partner, CamberView Partners, LLC
Gregory C. Yadley ~ Shumaker Loop & Kendrick, LLP
Jonathan K. Youngwood ~ Simpson Thacher & Bartlett LLP
Ted Yu ~ Chief, Office of Mergers and Acquisitions, Division of Corporation Finance,U.S.Securities and Exchange Commission,
Alison C. Zoellner ~ General Counsel – Advanced Materials, Honeywell International Inc.
Gerson A. Zweifach ~ Senior Executive Vice President and Group General Counsel, 21st Century Fox
Program Attorney(s)
Danielle B. Cohen ~ Senior Program Attorney, Practising Law Institute

New York Seminar Location and Hotel Accommodations

The Roosevelt Hotel, 45 East 45th Street, New York, NY 10017. (212) 661-9600.  A block of rooms has been reserved for this program.  Please call reservations at 1-888-833-3969 and mention Practising Law Institute.

In addition, a block of rooms has been reserved at the Grand Hyatt Hotel, 109 E. 42nd Street, NY, NY.  A half block away for the Roosevelt.  You can book online at  https://aws.passkey.com/go/PractisingLawInstitute.  The cutoff date for the preferred rate is October 18, 2017. 

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live seminars qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

California:  PLI’s live seminars qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Illinois: All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Iowa:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Kansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Louisiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Maine:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Minnesota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Mississippi:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Missouri:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Montana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nebraska:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nevada:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Hampshire:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Jersey:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Mexico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live seminars can be used to fulfill the requirements for newly admitted attorneys. All credit categories may be earned via transitional live seminars.

North Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars

North Dakota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Ohio:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oklahoma:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Puerto Rico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Rhode Island:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

South Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Tennessee:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Vermont:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live seminars qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

West Virginia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wisconsin:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wyoming:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live seminars qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live seminars qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC): PLI’s live seminars can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live seminars qualify as “live” credit. There is no limit to the number of points an attorney can earn via live seminars.

United Kingdom (CPD-UK):  PLI’s live seminars can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live seminars qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via live seminars.

Other Credit Types

CPE Credit (NASBA): PLI’s live seminars qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE): PLI’s live seminars may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live seminars may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live seminars may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live seminars may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live seminars qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live seminars qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live seminars may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live seminars may fulfill SW CPE credit requirements.

 

What You Will Learn

  • IPOs and public offerings by seasoned issuers
  • Private offerings and public offerings by smaller reporting companies
  • Legislative and regulatory developments in a new administration
  • Focus on disclosure: regulatory action and practical considerations
  • What’s new in accounting and financial reporting?
  • Ethical issues in transactional settings
  • Taking a closer look at securities opinions
  • Securities law grab bag: your frequent questions answered
  • Engagement today:Revisiting the relationship with shareholders
  • Hot topics at the Division of Corporation Finance
  • Delaware update: The latest legislative and judicial developments
  • M&A roundup: Today’s deal landscape
  • Roundtable: what’s keeping in-house counsel up at night?
  • Government enforcement priorities: what’s new, what’s hot and what’s not?
  • The defense perspective: the many shades of grey
  • Private securities litigation: navigating the latest challenges
  • Crisis management: the advanced course
  • Ethics in the enforcement context: spotting and solving the issues

Special Features

  • Receive practical take-away points from each panel
  • Three full days to network with hundreds of business colleagues and faculty
  • Earn two hours of Ethics Credit
  • Cocktail reception on day 1 and lunch on day 2 uncluded
  • Be part of the most highly attended annual Securities Institute nationwide

Who Should Attend

This three-day event is appropriate for attorneys and allied professionals at all levels.

“ The most useful conference every year.”

“ Solid topics and delivery.”

– 2016 Attendees


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 5:30 p.m.

9:00 Welcome and Opening Remarks
Speakers: David M. Lynn, Carmen J. Lawrence, Keith F. Higgins

9:15 Keynote Speaker
Speaker: Hon. Jay Clayton

9:45 IPOs and Public Offerings by Seasoned Issuers
• IPOs:  What’s new in the new issue market?  Current practices for confidential filings and testing the waters
• Securities Offerings Reform 2.0? – What’s on the Commission’s agenda for IPOs and seasoned issuers?
• At-the-Market Offerings – theory and practice
• Developments in debt financings – make-whole premiums, Marblegate and the Trust Indenture Act
Moderator: Deanna L. Kirkpatrick
Speakers: Joshua N. Korff, Ian D. Schuman, Jeffrey R. Vetter, Robert C. Vincent

10:45 Networking Break

11:00 Private Offerings and Public Offerings by Smaller Reporting Companies
• General solicitation and private offerings under Rule 506
• Integration of private to private and private to public offerings – what will it take to fix the uncertainty?
• Regulation A and Crowdfunding – are they working and where do they work the best?
• Public capital raising by smaller reporting companies – what’s on the reform agenda?
Moderator: Gordon K. Davidson
Speakers: Sebastian Gomez Abero, Sara Hanks, Anna T. Pinedo, Gregory C.Yadley

12:00 Lunch (on your own)

1:15 Legislative and Regulatory Developments in a New Administration
• Dodd-Frank developments:  Sorting through what’s dead, what’s alive, and what’s on life support
• Status of legislative and administrative actions, including Financial Choice Act of 2016
• Priorities for the new Commission
• Private ordering in a potentially less regulatory climate
Moderator: Meredith B. Cross
Speakers: Amy Borrus, Lona Nallengara, Brian P. O’Shea

2:15 Focus on Disclosure: Regulatory Action and Practical Considerations
• The FAST Act report and its implementation
• Where do things stand on the disclosure effectiveness project with a new Commission?
• Financial institution disclosures and Industry Guide 3
• Focus on MD&A and the materiality standard
• Sustainability disclosures
Moderator: Thomas J. Kim
Speakers: Brian V. Breheny, Karen J. Garnett, Katayun I. Jaffari, Alison Zoellner

3:15 Networking Break

3:30 What’s New in Accounting and Financial Reporting?
• Where are we with non-GAAP financial measures?
• Preparing for new GAAP:  revenue recognition, leasing and financial instruments
• Drilling down on contingencies
• PCAOB update, including new expanded auditor's report standard and new Form AP
• Lessons from SEC comment letters
Moderator: John W. White
Speakers: Wesley R. Bricker, Loretta V. Cangialosi, Michael J. Gallagher, Mark Kronforst
(CPE Field of Study: Accounting)

4:30 Ethical Issues in Transactional Settings
• Representing the corporate entity
• Protecting the attorney-client privilege and client confidences
• Lawyers’ ethical obligations when reporting to the board of directors and management
• Lawyers as gatekeepers
Moderator: John F. Olson
Speakers: Paul L. Choi, Ralph C. Ferrara, Jennifer A. Paradise

5:30  Adjourn

Cocktail Reception



Day Two: 9:00 a.m. - 5:15 p.m.

9:00 Taking a Closer Look at Securities Opinions
• What is customary practice and how do I find it?
• How are securities opinions different?
• Understanding the SEC guidance on securities filings opinions
• Why are resale opinions dangerous to your health?
• What is different about opinions on debt tender offers?
• Special considerations for cross-border capital markets opinions
Moderator: Stanley Keller
Speakers: Catherine T. Dixon, Nicolas Grabar, Ettore A. Santucci

10:15 Securities Law Grab Bag: Your Frequent Questions Answered
• Our answers and analysis for important securities and compliance questions
• Avoiding the pitfalls in the offering process
• Making the right disclosure decisions under common (and not so common) scenarios
• Approaching the compliance function: our best practice answers
• Frequent governance considerations and the best ways to handle them
• Do we have to close the trading window?
Moderator: Steven E. Bochner
Speakers: Martin P. Dunn, Alan L. Dye, David A. Katz

11:15 Networking Break

11:30 Engagement Today: Revisiting the Relationship with Shareholders
• The tide of activism: is it advancing or receding?
• Settlement of proxy contests and threatened contests
• Working with activist representatives on the board
• The latest proxy season developments and best practices
• The modern era of the shareholder proposals: where do we go next?
• Executive compensation considerations for 2018
• Shareholder engagement practice: have we matured?
Moderator: Keir D. Gumbs
Speakers: Michele M. Anderson, Mark A. Borges, Ronald O. Mueller, Christopher A. Wightman


12:30 Lunch (Provided)
Attendees will help themselves to lunch and then take their seats in the conference room.


1:00 Hot Topics at the Division of Corporation Finance
• Corp Fin rulemaking and agenda
• New and revised interpretive positions
• The latest disclosure trends and frequent areas of comment
• Tips on working with the Review staff
Moderator:  David M. Lynn
Speakers: William H. Hinman, Shelley E. Parratt, Robert Evans III

2:00 Delaware Update: The Latest Legislative and Judicial Developments
• A review of significant Delaware judicial decisions
• The evolving standards of fiduciary duty before and after shareholder approval
• Considerations with LLCs and other alternative entities
• Recent developments in appraisal law
Moderator: Lawrence A. Hamermesh
Speakers: Michael A. Pittenger, Srinivas M. Raju, Patricia O. Vella

3:00 Networking Break

3:15 M&A Roundup: Today’s Deal Landscape
• Advising the Board: standards of review, special committees, conflicts and more
• Structuring the deal: the latest trends
• Managing the risks: addressing financing, execution, regulatory and other key deal risks
• Developments in Williams Act disclosures
• Transaction liability protection: considering the alternatives
• Due diligence and forensics for the modern M&A transaction
Moderator: Steven A. Rosenblum
Speakers: Audra D. Cohen, Faiza J. Saeed, Ted Yu
(CFE Field of Study: Fraud)


4:15 Roundtable: What’s Keeping In-House Counsel Up at Night?
• Cybersecurity: What you don’t know can hurt you
• Fintech developments: How they are reshaping our financial world
• Managing a cross-border legal compliance program
• The role of reputation management in the legal and compliance process
• Deregulation and its implications
• The moving target of “good” corporate governance
Moderator: Richard H. Walker
Speakers: David Detweiler, Matthew Furman, Alice G. Givens
(CFE Field of Study: Fraud)
(IAPP Privacy credit for Privacy Professionals)

 

5:15  Adjourn 



Day Three: 9:00 a.m. - 4:30 p.m.

9:00 Keynote Speaker
Speaker: Hon. Mary Jo White

9:45 Government Enforcement Priorities: What’s New, What’s Hot and What’s Not?
• Major cases and current enforcement priorities
• Cybersecurity
• FCPA
• Insider trading
• Accounting and disclosure
Moderator: Colleen P. Mahoney
Speakers: Stephanie Avakian, Telemachus P. Kasulis, James McDonald
(CFE Field of Study: Fraud)
(IAPP Privacy credit for Privacy Professionals)


10:45 Networking Break

11:00 The Defense Perspective: The Many Shades of Gray
• Impact of the Trump administration
• Civil and criminal enforcement priorities and trends
• Special considerations in internal investigations
• Managing multi-agency and cross-border investigations
• Legal and Policy Update:  administrative proceedings; disgorgement,  penalties
Moderator:  Linda Chatman Thomsen
Speakers: George S. Canellos, Andrew J. Ceresney, Dixie L. Johnson, Robert S Khuzami
(CFE Field of Study: Fraud)

12:00 Lunch (on your own)

1:15 Private Securities Litigation: Navigating the Latest Challenges
• Key considerations in bringing, defending and resolving private securities litigation
• Implications of Leidos Inc. v. Indiana Public Retirement System
• Application of  Janus, Halliburton II, Omnicare and Morrison
• Current issues in D&O insurance
• Recent developments in shareholder derivative actions
Moderator: Brad S. Karp
Speakers: Adam S. Hakki, John J. Huber, Elaine H. Mandelbaum, Jonathan K. Youngwood

2:15 Crisis Management: The Advanced Course
• Real-world hypotheticals
• Crisis prevention
• Advance planning and training
• Managing the crisis
• Communicating with internal and external constituencies
Moderator: Stephen M. Cutler
Speakers: Kathryn H. Ruemmler, Theodore V. Wells, Jr., Hon. Mary Jo White, Gerson A. Zweifach

3:15 Networking Break

3:30 Ethics in the Enforcement Context: Spotting and Solving the Issues
• Multiple representation  issues
• Ethical pitfalls in conducting internal investigations
• Privilege waiver issues
• Conflicts of interest
• SOX Section 307: Rules of Professional Responsibility For Attorneys
• Lawyers as whistleblowers
Moderator: Simon M. Lorne
Speakers: David M. Becker, William R. McLucas, Robert H. Mundheim, James Q. Walker

4:30 Adjourn

Co-Chair(s)
Keith F. Higgins ~ Ropes & Gray LLP
Carmen J. Lawrence ~ King & Spalding
David M. Lynn ~ Jenner & Block LLP
Moderator(s)
Steven E. Bochner ~ Wilson Sonsini Goodrich & Rosati
Meredith B. Cross ~ Wilmer Cutler Pickering Hale and Dorr LLP
Stephen M. Cutler ~ Executive Vice President and Vice Chairman, JPMorgan Chase & Co.
Gordon K. Davidson ~ Fenwick & West LLP
Keir D. Gumbs ~ Covington & Burling LLP
Lawrence A. Hamermesh ~ Ruby R. Vale Professor of Corporate and Business Law, Institute of Delaware Corporate and Business Law, Widener University Delaware Law School
Brad S. Karp ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
Stanley Keller ~ Locke Lord LLP
Thomas J. Kim ~ Sidley Austin LLP
Deanna L. Kirkpatrick ~ Davis Polk & Wardwell LLP
Simon M. Lorne ~ Vice Chairman and Chief Legal Officer, Millennium Management LLC
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
John F. Olson ~ Gibson, Dunn & Crutcher LLP
Steven A. Rosenblum ~ Wachtell, Lipton, Rosen & Katz
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
Richard H. Walker ~ King & Spalding
John W. White ~ Cravath, Swaine & Moore LLP
Speaker(s)
Sebastian Gomez Abero ~ Chief, Office of Small Business Affairs, U.S. Securities and Exchange Commission
Michele M. Anderson ~ Associate Director, Legal, Division of Corporation Finance, U.S. Securities and Exchange Commission
Stephanie Avakian ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
David M. Becker ~ Cleary Gottlieb Steen & Hamilton LLP
Mark A. Borges ~ Principal, Compensia, Inc.
Amy Borrus ~ Deputy Director, Council of Institutional Investors
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Wesley R. Bricker ~ Chief Accountant, U.S. Securities and Exchange Commission
George S. Canellos ~ Milbank, Tweed, Hadley & McCloy LLP
Loretta V. Cangialosi ~ Senior Vice President and Controller, Pfizer Inc.
Andrew J. Ceresney ~ Debevoise & Plimpton LLP
Paul L. Choi ~ Sidley Austin LLP
Hon. Jay Clayton ~ Chairman, U.S. Securities and Exchange Commission
Audra D. Cohen ~ Sullivan & Cromwell LLP
David Detweiler ~ Executive Vice President and General Counsel, Volkswagen Group of America, Inc.
Catherine T. Dixon ~ Weil, Gotshal & Manges LLP
Martin P. Dunn ~ Morrison & Foerster LLP
Alan L. Dye ~ Hogan Lovells
Robert Evans III ~ Deputy Director, Legal and Regulatory Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission
Ralph C. Ferrara ~ Proskauer Rose LLP
Matthew Furman ~ General Counsel, Willis Towers Watson
Michael J. Gallagher ~ Managing Partner, Assurance Quality, PwC
Karen J. Garnett ~ Associate Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission
Alice G. Givens ~ Vice President-General Counsel, Chief Compliance Officer and Corporate Secretary, Ruth's Hospitality Group, Inc.
Nicolas Grabar ~ Cleary Gottlieb Steen & Hamilton LLP
Adam S. Hakki ~ Shearman & Sterling LLP
Sara Hanks ~ Co-Founder and Chief Executive Officer, CrowdCheck,Inc.
William H. Hinman ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
John J. Huber ~ Affiliate, Forensic and Litigation Consulting, FTI Consulting Inc.
Katayun I. Jaffari ~ Ballard Spahr LLP
Dixie L. Johnson ~ King & Spalding
Telemachus P. Kasulis ~ Co-Chief, Securities and Commodities Fraud Task Force, U.S. Attorney's Office, Southern District of New York
David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Robert Khuzami ~ Kirkland & Ellis LLP
Joshua N. Korff ~ Kirkland & Ellis LLP
Mark Kronforst ~ Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
Elaine H. Mandelbaum ~ Managing Director and General Counsel, Litigation and Regulatory Enforcement, Citi Institutional Clients Group
James McDonald ~ Director, Enforcement Division, U.S. Commodity Futures Trading Commission
William R. McLucas ~ Wilmer Cutler Pickering Hale and Dorr LLP
Ronald O. Mueller ~ Gibson, Dunn & Crutcher LLP
Robert H. Mundheim ~ Shearman & Sterling LLP
Lona Nallengara ~ Shearman & Sterling LLP
Brian P. O'Shea ~ Senior Director, Center for Capital Markets Competitiveness
Jennifer A. Paradise ~ White & Case LLP
Shelley E. Parratt ~ Deputy Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission
Anna T. Pinedo ~ Morrison & Foerster LLP
Michael A. Pittenger ~ Potter Anderson & Corroon LLP
Srinivas M. Raju ~ Richards, Layton & Finger, PA
Kathryn H. Ruemmler ~ Latham & Watkins LLP
Faiza J. Saeed ~ Cravath, Swaine & Moore LLP
Ettore A. Santucci ~ Goodwin Procter LLP
Ian D. Schuman ~ Latham & Watkins LLP
Patricia O. Vella ~ Morris, Nichols, Arsht & Tunnell LLP
Jeffrey R. Vetter ~ Fenwick & West LLP
Robert C. Vincent ~ Managing Director and Associate General Counsel, JPMorgan Chase
James Q. Walker ~ Richards Kibbe & Orbe LLP
Theodore V. Wells, Jr. ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
Hon. Mary Jo White ~ Debevoise & Plimpton LLP
Christopher A. Wightman ~ Partner, CamberView Partners, LLC
Gregory C. Yadley ~ Shumaker Loop & Kendrick, LLP
Jonathan K. Youngwood ~ Simpson Thacher & Bartlett LLP
Ted Yu ~ Chief, Office of Mergers and Acquisitions, Division of Corporation Finance,U.S.Securities and Exchange Commission,
Alison C. Zoellner ~ General Counsel – Advanced Materials, Honeywell International Inc.
Gerson A. Zweifach ~ Senior Executive Vice President and Group General Counsel, 21st Century Fox
Program Attorney(s)
Danielle B. Cohen ~ Senior Program Attorney, Practising Law Institute
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered. If two or more individuals wish to participate in a webcast and receive credit, PLI would be happy to provide a Groupcast – group viewing of a webcast. To schedule a Groupcast, please contact PLI at groupcasts@pli.edu.


U.S. MCLE States

Alabama:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live webcasts qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

California:  PLI’s live webcasts qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live webcasts qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live webcasts qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live webcasts qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period.

Iowa:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kentucky:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Louisiana:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Minnesota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Mississippi:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Montana:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Nebraska:  PLI’s live webcasts qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Hampshire:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Jersey:  PLI’s live webcasts qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live webcasts can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live webcasts. Skills credits may not be earned via live webcasts.

North Carolina:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

North Dakota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Ohio:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  PLI’s live webcasts qualify as “non-traditional” credit. Attorneys are limited to 8 credits of non-traditional programs per reporting period.

Rhode Island:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

South Carolina:  PLI’s live webcasts qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live webcasts qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

West Virginia:  PLI’s live webcasts qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Wyoming:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live webcasts qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live webcasts qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live webcasts can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 15 points of distance learning programs per reporting period.

United Kingdom (CPD-UK):  PLI’s live webcasts can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live webcasts may fulfill Australia’s CPD requirements. Credit limits for live webcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Other Credit Types

CPE Credit (NASBA):  PLI’s live webcasts qualify as “Group-Internet-Based” (GIB) credit.

IRS Continuing Education (IRS-CE):  PLI’s live webcasts may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live webcasts may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live webcasts may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live webcasts may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live webcasts qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live webcasts qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live webcasts may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live webcasts may fulfill SW CPE credit requirements.

 

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