On-Demand   On-Demand Web Programs

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

Released on: Jun. 19, 2013
Running Time: 06:06:23

Running Time Segment Title Faculty Format
[00:53:20] Global Capital Markets Perspectives in 2013 Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Dr. Robert Fisher ~ Acting Director, Office of International Affairs, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:01:27] Hot Topics in Capital Markets Antonia E. Stolper ~ Shearman & Sterling LLP
Anna T. Pinedo ~ Morrison & Foerster LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
On-Demand MP3 MP4
[00:59:15] IFRS and Other Accounting Matters Jonathan R. Guthart ~ KPMG US Capital Markets Group
Wayne E. Carnall ~ PricewaterhouseCoopers LLP
Alexander F. Cohen ~ Latham & Watkins LLP
On-Demand MP3 MP4
[01:01:20] Corporate Governance Dan Konigsburg ~ Deloitte Touche Tohmatsu Limited
Keir D. Gumbs ~ Covington & Burling LLP
Lopa Patel Zielinski ~ Director and Senior Counsel, Corporate Governance, TIAA-CREF
On-Demand MP3 MP4
[00:56:02] Alternative Investment Vehicles and Derivatives Regulation Barbara A. Stettner ~ Partner, Allen & Overy LLP
Susan C. Ervin ~ Davis Polk & Wardwell LLP
Lori A. Martin ~ WilmerHale LLP
On-Demand MP3 MP4
[01:00:17] Enforcement Developments Michael D. Mann ~ Richards Kibbe & Orbe LLP
Jonathan R. Tuttle ~ Debevoise & Plimpton LLP
Greg D. Andres ~ Davis Polk & Wardwell
On-Demand MP3 MP4
Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world. This program will keep securities lawyers up-to-date on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment.

Lecture Topics 
[Total time 06:06:23]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Introduction and Opening Remarks* [00:14:42]
    Paul M. Dudek, David M. Lynn
  • Global Capital Markets Perspectives in 2013 [00:53:20]
    Alan L. Beller, Dr. Robert Fisher
  • Hot Topics in Capital Markets [01:01:27]
    Anna T. Pinedo, Antonia E. Stolper, Thomas W. Yang
  • IFRS and Other Accounting Matters [00:59:15]
    Wayne E. Carnall, Alexander F. Cohen, Jonathan R. Guthart
  • Corporate Governance [01:01:20]
    Keir D. Gumbs, Dan Konigsburg, Lopa Patel Zielinski
  • Alternative Investment Vehicles and Derivatives Regulation [00:56:02]
    Susan C. Ervin, Barbara A. Stettner, Lori A. Martin
  • Enforcement Developments [01:00:17]
    Michael D. Mann, Jonathan R. Tuttle, Greg D. Andres

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • The Jumpstart Our Business Startups Act of 2012 (March 2013)
    David M. Lynn
  • The Other Global Warming: The Impact of the JOBS Act on Foreign Issuers
    Anna T. Pinedo, James R. Tanenbaum
  • Accessing the US Markets: A Warmer Climate for Foreign Issuers
    Anna T. Pinedo, James R. Tanenbaum
  • Welcome to America. Again: The JOBS Act Gives us an Excellent Way to Attract Foreign Issuers Back to the US Capital Markets (May 2012)
    Anna T. Pinedo, James R. Tanenbaum
  • Coming to America: Anna Pinedo and Jerry Marlatt of Morrison & Foerster Describe the Framework Regulating Foreign Banks’ Issuance of Covered Bonds Into the US (July/August 2012)
    Anna T. Pinedo, Jerry Marlatt
  • Considerations for Foreign Banks Financing in the US: Chapter 2—Overview of Financing Through Exempt Offerings
    Anna T. Pinedo
  • Frequently Asked Questions About Section 3(a)(2) Bank Note Programs
    Anna T. Pinedo
  • Frequently Asked Questions About Rule 144A
    Anna T. Pinedo
  • What’s Going On—Over a Month of Section 219 Disclosures Under the Iran Threat Reduction and Syria Human Rights Act of 2012 (March 20, 2013)
    Antonia E. Stolper
  • Flash Report: Section 219 Disclosures Under the Iran Threat Reduction and Syria Human Rights Act of 2012 (February 14, 2013)
    Antonia E. Stolper
  • Sanctions Round-Up: Fourth Quarter 2012 (January 7, 2013)
    Antonia E. Stolper
  • The Iran Threat Reduction and Syria Human Rights Act of 2012—How are You Planning to Comply with Section 219’s New Reporting Requirements? (December 17, 2012)
    Antonia E. Stolper
  • SEC Publishes CD&Is for Iran Sanctions Disclosures Required Under Exchange Act Section 13(r) (December 6, 2012)
    Antonia E. Stolper
  • Section 219 of the Iran Threat Reduction and Syria Human Rights Act of 2012— Additional Reporting Requirements for US Domestic and Foreign Issuers Registered with the SEC (November 8, 2012)
    Antonia E. Stolper
  • Financial Statement Requirements in US Securities Offerings: What Non-US Issuers Need to Know (September 2011)
    Alexander F. Cohen, Kirk A. Davenport, II
  • Directors’ Alert 2013—Lead or be Led: Time to take Advantage of the New Business Reality
    Dan Konigsburg
  • Shareholder Demands for Corporate Political Disclosure
    Keir D. Gumbs
  • E-Alert: White Collar—Gabelli v. SEC and its Impact on Government Investigations (March 11, 2013)
    Keir D. Gumbs
  • E-Alert: Securities—Greenlight Capital v. Apple and its Potential Impact on the 2013 Proxy Season (March 4, 2013)
    Keir D. Gumbs
  • E-Alert: Securities—Something to Watch This Proxy Season: Next Generation Executive Compensation Lawsuits (February 12, 2013)
    Keir D. Gumbs
  • Advisory: Securities—Required Communications Between Auditors and Audit Committees (January 29, 2013)
    Keir D. Gumbs
  • Advisory: Securities—SEC Approves NYSE and NASDAQ Independence Standards for Compensation Committees (January 18, 2013)
    Keir D. Gumbs
  • Advisory: Securities—Conflict Mineral Rules: Frequently Asked Questions (January 3, 2013)
    Keir D. Gumbs
  • SEC Enforcement and Inspection Priorities for Hedge Fund and Private Fund Advisers After the Enactment of the Dodd-Frank Act (March 25, 2013)
    Matthew A. Chambers
  • CFTC Regulation: Use of Derivatives in Investment Management
    Susan C. Ervin
  • Client Memorandum: An Asset Manager’s Guide to Swap Trading in the New Regulatory World (March 11, 2013)
    Susan C. Ervin
  • The Review of Securities & Commodities Regulation: An Analysis of Current Laws and Regulations Affecting the Securities and Futures Industries (August 15, 2012)
    Barbara A. Stettner
  • Recent Developments in Federal ‘Pay-to-Play’ Compliance: New SEC Risk Alert and USD12 Million Settlement Underscore the Importance of Strong Compliance Procedures for Entities Subject to Federal Pay-to-Play Regimes (November 2012)
    Barbara A. Stettner
  • A Few Observations in the Private Fund Space—Speech by David W. Blass, Chief Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission (April 5, 2013)
    Barbara A. Stettner
  • A Review of the Extraterritorial Application on U.S. Securities Laws in Non-FCPA Cases (March 21, 2013)
    Linda Chatman Thomsen
  • Re-Defining the Extraterritorial Reach of Anti-Fraud Protections Under the U.S. Securities Laws (June 5, 2013)
    Michael D. Mann

Presentation Material

  • Hot Topics in Capital Markets
    Anna T. Pinedo
  • IFRS and Other Accounting Matters
    Wayne E. Carnall
  • Corporate Governance
    Keir D. Gumbs
  • Alternative Investment Vehicles and Derivatives Regulation
    Susan C. Ervin
  • Alternative Investment Vehicles and Derivatives Regulation
    Lori A. Martin
  • Alternative Investment Vehicles and Derivatives Regulation
    Barbara A. Stettner
Co-Chair(s)
Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
David M. Lynn ~ Morrison & Foerster LLP
Speaker(s)
Greg D. Andres ~ Davis Polk & Wardwell
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Wayne E. Carnall ~ PricewaterhouseCoopers LLP
Alexander F. Cohen ~ Latham & Watkins LLP
Susan C. Ervin ~ Davis Polk & Wardwell LLP
Dr. Robert Fisher ~ Acting Director, Office of International Affairs, U.S. Securities and Exchange Commission
Keir D. Gumbs ~ Covington & Burling LLP
Jonathan R. Guthart ~ KPMG US Capital Markets Group
Dan Konigsburg ~ Deloitte Touche Tohmatsu Limited
Michael D. Mann ~ Richards Kibbe & Orbe LLP
Lori A. Martin ~ WilmerHale LLP
Anna T. Pinedo ~ Morrison & Foerster LLP
Barbara A. Stettner ~ Partner, Allen & Overy LLP
Antonia E. Stolper ~ Shearman & Sterling LLP
Jonathan R. Tuttle ~ Debevoise & Plimpton LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Lopa Patel Zielinski ~ Director and Senior Counsel, Corporate Governance, TIAA-CREF

PLI makes every effort to accredit its On-Demand Web Programs and Segments.  Please check the CLE Calculator above for CLE information specific to your state.

On-Demand Web Programs and Segments are approved in:

Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6,  North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14 and Wyoming*.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

Minnesota 
approves live webcasts ONLY

Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.


1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

 

2Iowa:  The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

3Missouri:  On-demand web programs are restricted to six hours of self-study credit per year.  Self-study may not be used to satisfy the ethics requirements.  Self-study can not be used for carryover credit.

 

4New Hamphsire:  The approval is for three years from recorded date.

5New Mexico:  On-Demand web programs are restricted to 4.0 self-study credits per year. 


6New York:  Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats. 

7North Carolina:  A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs. 


8Ohio:  To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us.  Online programs are considered self-study.  Ohio attorneys have a 6 credit self-study limit per compliance period.  The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

9Oklahoma:  Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.


10Pennsylvania:  PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
 

11Rhode Island:  Audio Only On-Demand Web Programs are not approved for credit.  On-Demand Web Programs must have an audio and video component.

12Tennessee:  The approval is for the calendar year in which the live program was presented.

13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

14Wisconsin: Ethics credit is not allowed.  The ethics portion of the program will be approved for general credit.  There is a 10 credit limit for on-demand web programs during every 2-year reporting period.  Does not approve of Audio-only On-Demand Webcasts.


Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.


If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.


Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu.

 
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