On-Demand   On-Demand Web Programs

Securities Regulation Institute (47th Annual)

Released on: Nov. 4, 2015
Running Time: 19:53:41

Running Time Segment Title Faculty Format
[01:41:12] How’s Life in the Capital Markets (How Strong is the Pulse)? Keith F Higgins ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Richard D Truesdell, Jr. ~ Davis Polk & Wardwell LLP
David B Harms ~ Sullivan & Cromwell LLP
Peter M McGoff ~ Senior Vice President, General Counsel & Corporate Secretary, Box, Inc.
Steven E Bochner ~ Wilson Sonsini Goodrich & Rosati
Leslie K Gardner ~ Managing Director and Associate General Counsel, JPMorgan Chase & Co.
Sebastian Gomez Abero ~ Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:29:46] What to Do in a Crisis: Cybersecurity, Investigations, Whistleblowers, What Else? Samuel C Scott ~ Corporate Director, Motorola Solutions, Inc., The Bank of New York Mellon Corporation,
Paul Verbinnen ~ President, Sard Verbinnen
Susan L Blount ~ Executive Vice President and General Counsel, Prudential Financial, Inc.
Thomas A Cole ~ Sidley Austin LLP
Lorin L Reisner ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
On-Demand MP3 MP4
[01:37:39] Activism in 2016: Understanding the Dynamics of the Changing Landscape and Changing Roles Carmen M Molinos ~ Managing Director, Morgan Stanley, Investment Banking Division
Eileen R Cohen ~ Managing Director, Chair of the Governance Committee, Portfolio Manager, JPMorgan Asset Management
James C Snyder, Jr. ~ Former SVP & General Counsel ,
Michele M Anderson ~ Associate Director (Legal), Division of Corporation Finance, U.S. Securities and Exchange Commission
Ethan A Klingsberg ~ Cleary Gottlieb Steen & Hamilton LLP
Charles Penner ~ Partner & Chief Legal Officer, JANA Partners LLC
On-Demand MP3 MP4
[00:59:50] Ethical Dilemmas in the Deal World David M Becker ~ Chief Legal Officer and Executive Managing Director, Och-Ziff Capital Management Group
Stanley Keller ~ Locke Lord LLP
John F Olson ~ Gibson, Dunn & Crutcher LLP
Barbara S Gillers ~ Adjunct Professor of Law, New York University School of Law
On-Demand MP3 MP4
[01:02:20] Reality or Ghost Story? Do International Issues Matter Again in the U.S. Markets? Paul M Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
Antonia E Stolper ~ Shearman & Sterling LLP
Wayne E Carnall ~ Partner, National Professional Services Group, PwC
Francesca L Odell ~ Cleary Gottlieb Steen & Hamilton LLP
Mary Connell Lifton ~ Vice President & Counsel, Credit Suisse Securities (USA) LLC
On-Demand MP3 MP4
[01:00:10] Fund Facts for Corporate Lawyers -- What You Need to Know About the ‘40 Act Marc Wyatt ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Barry P Barbash ~ Willkie Farr & Gallagher LLP
Martin E Lybecker ~ Perkins Coie LLP
John E Baumgardner, Jr. ~ Sullivan & Cromwell LLP
Stephanie R Breslow ~ Schulte Roth & Zabel LLP
Julie M Riewe ~ Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
David W Grim ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[00:59:36] What’s Happening in Delaware? And Why You Need to Know Pamela S Tikellis ~ Chimicles & Tikellis LLP
Lawrence A Hamermesh ~ Ruby R. Vale Professor of Corporate and Business Law, Widener University Delaware Law School
Frederick H Alexander ~ B Lab
Mark J Gentile ~ Richards, Layton & Finger, P.A.
Andrew J Pincus ~ Mayer Brown LLP
On-Demand MP3 MP4
[01:00:07] Interview and Q&A with the Staff of the Division of Corporation Finance Keith F Higgins ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Shelley E Parratt ~ Deputy Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
David R Fredrickson ~ Associate Director and Chief Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission
Michele M Anderson ~ Associate Director (Legal), Division of Corporation Finance, U.S. Securities and Exchange Commission
David M Lynn ~ Morrison & Foerster LLP
On-Demand MP3 MP4
[01:16:14] M&A Today: Do the Laws of Attraction Still Apply? Susan Huang ~ Managing Director & Vice Chairwoman, Investment Banking, Morgan Stanley
Robert E Spatt ~ Simpson Thacher & Bartlett LLP
Faiza J Saeed ~ Cravath, Swaine & Moore LLP
Michele M Anderson ~ Associate Director (Legal), Division of Corporation Finance, U.S. Securities and Exchange Commission
Steven A Rosenblum ~ Wachtell, Lipton, Rosen & Katz
Audra D Cohen ~ Sullivan & Cromwell LLP
On-Demand MP3 MP4
[01:16:50] Still a Fulcrum of Investor Protection -- Accounting Issues Facing Companies and Audit Committees Jeanette M Franzel ~ Board Member, Public Company Accounting Oversight Board
James V Schnurr ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
John W White ~ Cravath, Swaine & Moore LLP
Michele J Hooper ~ President and CEO, The Directors' Council
Michael J Gallagher ~ Managing Partner, Assurance Quality, PwC
On-Demand MP3 MP4
[01:11:11] Government Enforcement Priorities: What’s on the Agenda Now, and in 2016? Greg Sachrajda ~ Head of Law, Policy and International, Enforcement and Market Oversight Division, Financial Conduct Authority
Colleen P Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Andrew J Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Aitan D Goelman ~ Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
Leslie R Caldwell ~ Assistant Attorney General, Criminal Division, U.S. Department of Justice
On-Demand MP3 MP4
[01:16:07] The Defense Perspective: Strategies and Practical Considerations from the Source William R McLucas ~ Wilmer Cutler Pickering Hale and Dorr LLP
Dixie L Johnson ~ King & Spalding LLP
Robert S Khuzami ~ Kirkland & Ellis LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
George S Canellos ~ Milbank, Tweed, Hadley & McCloy LLP
On-Demand MP3 MP4
[01:13:57] Hot Topics in Private Securities Litigation: Lessons Learned and Practice Tips From Recent Cases Brad S Karp ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
Elaine H Mandelbaum ~ Managing Director and General Counsel, Litigation and Regulatory Enforcement, Citi Institutional Clients Group
Gerald H Silk ~ Bernstein Litowitz Berger & Grossmann LLP
Jonathan K Youngwood ~ Simpson Thacher & Bartlett LLP
Maeve L O'Connor ~ Debevoise & Plimpton LLP
Jeffrey W Kilduff ~ O'Melveny & Myers LLP
On-Demand MP3 MP4
[01:31:33] Disclosure Quandaries: Conflict Minerals, Clawbacks and More Neila B Radin ~ Managing Director & Associate General Counsel, JPMorgan Chase & Co.
Karen J Garnett ~ Associate Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission
Meredith B Cross ~ Wilmer Cutler Pickering Hale and Dorr LLP
Thomas J Kim ~ Sidley Austin LLP
Keir D Gumbs ~ Covington & Burling LLP
Marty Dunn ~ Morrison & Foerster LLP
On-Demand MP3 MP4
[01:00:32] Ethics Perspectives From Former SEC General Counsels Ralph C Ferrara ~ Proskauer Rose LLP
Hon. Harvey L Pitt ~ Founder, CEO and Managing Director, Kalorama Partners, LLC, Kalorama Legal Services PLLC
James R Doty ~ Chairman, Public Company Accounting Oversight Board
Richard H Walker ~
Simon M Lorne ~ Vice Chairman and Chief Legal Officer, Millennium Management LLC
On-Demand MP3 MP4

For more than four decades, PLI’s Annual Institute on Securities Regulation has been the premier conference on securities regulation and corporate governance for lawyers, from new associates to seasoned practitioners.  This year’s Institute will once again bring you the nation’s leading securities and corporate legal experts to deliver practical insights and real-world strategies and solutions to the many challenges facing you and your clients today.  The Institute’s comprehensive and practice-oriented sessions will ensure that you are on top of the latest developments and trends impacting your practice.

You Will Learn

  • Latest developments and practices in the capital markets
  • Update on SEC rulemaking and other activities
  • Real –world crisis management strategies
  • Up-to-date information on activist initiatives and corporate responses
  • Latest developments in the funds arena
  • Key accounting and auditing updates
  • Critical disclosure challenges and strategic approaches
  • International activity and what it means for non-U.S. issuers in U.S. public markets
  • Important Delaware law developments
  • Practical aspects of handling M&A transactions
  • What State, Federal and international agencies have on their agendas now, and for 2016
  • Practical aspects of defending government enforcement actions
  • Hot topics in private securities litigation

Special Features

  • Keynote Address: Hon. Mary Jo White, Chair, U.S. Securities and Exchange Commission
  • Featured Speaker: Tony West, Executive Vice President, Government Affairs, General Counsel and Corporate Secretary, Pepsico
  • Interview and Q&A with the SEC’s Division of Corporation Finance
  • Earn up to two full hours of Ethics credit

Lecture Topics [Total time 19:53:41]

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


  • Welcome and Opening Remarks* [00:07:31]
    Alan L. Beller, Carmen J. Lawrence, David M. Lynn
  • Keynote Address: Hon. Mary Jo White [00:31:19]
    Mary Jo White
  • How’s Life in the Capital Markets (How Strong is the Pulse)? [01:41:12]
    David B. Harms, Sebastian Gomez Abero, Steven E. Bochner, Leslie K. Gardner, Keith F. Higgins, Richard D. Truesdell, Jr., Peter M. McGoff
  • What to Do in a Crisis: Cybersecurity, Investigations, Whistleblowers, What Else? [01:29:46]
    Thomas A. Cole, Lorin L. Reisner, Samuel C. Scott, Paul Verbinnen, Susan L. Blount
  • Activism in 2016: Understanding the Dynamics of the Changing Landscape and Changing Roles [01:37:39]
    Ethan A. Klingsberg, Michele M. Anderson, Eileen R. Cohen, Carmen M. Molinos, Charles Penner, James C. Snyder, Jr.
  • Ethical Dilemmas in the Deal World [00:59:50]
    John F. Olson, David M. Becker, Barbara S. Gillers, Stanley Keller
  • Featured Speaker: Tony West [00:37:47]
    Tony West
  • Reality or Ghost Story? Do International Issues Matter Again in the U.S. Markets? [01:02:20]
    Antonia E. Stolper, Wayne E. Carnall, Paul M. Dudek, Francesca L. Odell, Mary Connell Lifton
  • Fund Facts for Corporate Lawyers -- What You Need to Know About the ‘40 Act [01:00:10]
    Barry P. Barbash, Stephanie R. Breslow, David W. Grim, Martin E. Lybecker, Julie M. Riewe, Marc Wyatt, John E. Baumgardner, Jr.
  • What’s Happening in Delaware? And Why You Need to Know [00:59:36]
    Lawrence A. Hamermesh, Frederick H. Alexander, Mark J. Gentile, Andrew J. Pincus, Pamela S. Tikellis
  • Interview and Q&A with the Staff of the Division of Corporation Finance [01:00:07]
    David M. Lynn, Keith F. Higgins, Michele M. Anderson, Shelley E. Parratt, David R. Fredrickson
  • M&A Today: Do the Laws of Attraction Still Apply? [01:16:14]
    Michele M. Anderson, Audra D. Cohen, Steven A. Rosenblum, Robert E. Spatt, Faiza J. Saeed, Susan Huang
  • Still a Fulcrum of Investor Protection -- Accounting Issues Facing Companies and Audit Committees [01:16:50]
    John W. White, Michael J. Gallagher, Michele J. Hooper, Jeanette M. Franzel, James V. Schnurr
  • Government Enforcement Priorities: What’s on the Agenda Now, and in 2016? [01:11:11]
    Colleen P. Mahoney, Andrew J. Ceresney, Aitan D. Goelman, Leslie R. Caldwell, Greg Sachrajda
  • The Defense Perspective: Strategies and Practical Considerations from the Source [01:16:07]
    Linda Chatman Thomsen, George S. Canellos, Dixie L. Johnson, Robert S. Khuzami, William R. McLucas
  • Hot Topics in Private Securities Litigation: Lessons Learned and Practice Tips From Recent Cases [01:13:57]
    Brad S. Karp, Elaine H. Mandelbaum, Jeffrey W. Kilduff, Maeve L. O'Connor, Gerald H. Silk, Jonathan K. Youngwood
  • Disclosure Quandaries: Conflict Minerals, Clawbacks and More [01:31:33]
    Meredith B. Cross, Marty Dunn, Karen J. Garnett, Keir D. Gumbs, Thomas J. Kim, Neila B. Radin
  • Ethics Perspectives From Former SEC General Counsels [01:00:32]
    Simon M. Lorne, Ralph C. Ferrara, James R. Doty, Richard H. Walker, Harvey L. Pitt

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


  • Sullivan & Cromwell LLP, Audit Committee Disclosure, SEC Issues Concept Release Seeking Comment on Possible Revisions to Audit Committee Disclosure Requirements (July 9, 2015)
    David B. Harms
  • Sullivan & Cromwell LLP, Exchange-Traded Products, SEC Requests Comments on Topics Related to the Listing and Trading of Exchange-Traded Products on National Securities Exchanges and Sales of Such Products by Broker-Dealers (June 17, 2015)
    David B. Harms
  • Sullivan & Cromwell LLP, Recent Developments in BSA/AML, SEC’s Waiver of Rule 506(d) Disqualification for Oppenheimer & Co. Sparks Dissent Among SEC Commissioners (February 12, 2015)
    David B. Harms
  • Sullivan & Cromwell LLP, Lee v. Pincus, Delaware Chancery Court Declines to Dismiss Fiduciary Duty Claims Against Board for Post-IPO Waiver of Lock-Up Restrictions But Dismisses Aiding and Abetting Claims Against Underwriters for Consenting to the Waiver (November 17, 2014)
    David B. Harms
  • Advising Boards of Directors with Respect to Risk
    Thomas A. Cole
  • Working with the Board of a Company in Crisis
    Thomas A. Cole
  • A Non-Alarmist Approach to Hedge Fund Activism
    Ethan A. Klingsberg
  • Point/Counterpoint, The Activist Report, 13D Monitor, Volume 2, Issue 4 (April 2012)
    Charles Penner
  • Lawyers’ Professional Obligations Under SEC Rules
    Stanley Keller
  • Attorney Conflicts and Waivers
    John F. Olson
  • Distinctions Between Current and Former Clients
    John F. Olson
  • Attorney-Client Privilege and Work Product Protection for Non-Lawyers (Public Relations Experts)
    John F. Olson
  • The SEC Whistleblower Program: Lawyers and Compliance Officers as Whistleblowers
    John F. Olson, Stanley Keller
  • Selected Recent Developments in U.S. Securities Laws and Corporate Finance, as of July 27, 2015
    Andrew Hirsch, Melissa Barshop, John F. Olson, Ronald O. Mueller, Jonathan C. Dickey, Stephen I. Glover, Brian J. Lane, Amy L. Goodman, James J. Moloney, Paul J. Collins, Gillian McPhee, Peter W. Wardle, Ari B. Lanin, Elizabeth Ising, Michael Scanlon
  • Reality or Ghost Story? Do International Issues Matter Again in the U.S. Markets? (Substantive Outline)
    Antonia E. Stolper
  • Recent Trends in SEC Investment Management Enforcement Actions: A Summary Chart
    Barry P. Barbash
  • Is an Issuer an Investment Company? (July 21, 2015)
    John E. Baumgardner, Jr.
  • Stephanie R. Breslow & Phyllis A. Schwartz, Investment Advisers Act of 1940, Ch. 10, Private Equity Funds: Formation and Operation (June 2015)
    Stephanie R. Breslow
  • Schulte Roth & Zabel, Alert, New SEC Cybersecurity Guidance: What It Means for Fund Managers (May 4, 2015)
    Stephanie R. Breslow
  • Schulte Roth & Zabel, Alert, Newman’s Aftermath: District Court Vacates Four Insider Trading Guilty Pleas; Government Seeks Rehearing in Second Circuit (January 27, 2015)
    Stephanie R. Breslow
  • Legal Analysis of Investment Company Act Status, Questions for Operating Companies (Substantive Outline)
    Martin E. Lybecker
  • Recent Developments in Delaware Corporate Law
    Lawrence A. Hamermesh, Frederick H. Alexander, Mark J. Gentile, Andrew J. Pincus, Pamela S. Tikellis
  • Council of the Corporation Law Section of the Delaware Bar Association, Explanation of Council Legislative Proposal Re: Shareholder Fee-Shifting: Proposed Amendments to 8 Del. C. §§ 102, 109 and 115
    Lawrence A. Hamermesh
  • Delaware Senate Bill No. 75, an Act to Amend Title 8 of the Delaware Code Relating to the General Corporation Law
    Lawrence A. Hamermesh
  • Proposed Legislation to Amend Title 8 of the Delaware Code Relating to the General Corporation Law, § 262
    Lawrence A. Hamermesh
  • Explanatory Memorandum Re: Section 262 Appraisal Amendments
    Lawrence A. Hamermesh
  • Letter from Harold H. Kim, Executive Vice President, U.S. Chamber Institute for Legal Reform, to Members of the Delaware Senate (May 6, 2015)
    Andrew J. Pincus
  • Letter from Harold H. Kim, Executive Vice President, U.S. Chamber Institute for Legal Reform, to Members of the Delaware Senate Judiciary Committee (May 5, 2015)
    Andrew J. Pincus
  • The Jumpstart Our Business Startups Act of 2012 (July 2015)
    David M. Lynn, Martin P. Dunn
  • Takeover Law and Practice
    Steven A. Rosenblum
  • Other People’s Money—The Evolution of Dealing with Financing Execution Risk in LBO and Strategic Mergers (January 2014)
    Robert E. Spatt
  • The Four Ring Circus—Round Nineteen; A Further Updated View of the Mating Dance Among Announced Merger Partners and an Unsolicited Second or Third Bidder (March 11, 2015)
    Peter Martelli, Robert E. Spatt
  • Selected Legal Issues Relating to the Selection and Implementation of Differing Forms of Consideration in M&A Transactions (January 29, 2015)
    Robert E. Spatt
  • Social Issues in Selected Recent Mergers and Acquisitions Transactions, 2004–2015 Supplement (January 29, 2015)
    Michael T. Holick, Gabriela C. Botifoll, Robert E. Spatt
  • James Schnurr, Chief Accountant, U.S. Securities and Exchange Commission, Remarks Before the 2015 Baruch College Financial Reporting Conference (May 7, 2015)
    John W. White
  • James Schnurr, Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission, Remarks at the 34th Annual SEC and Financial Reporting Institute Conference (June 5, 2015)
    John W. White
  • Dusty Stallings & David Morgan, PwC, In Brief, Revenue Recognition—The Future is Here, No. 2014-09 (May 28, 2014)
    John W. White
  • Brett Cohen & Anthi Stefanou, PwC, In Brief, FASB Finalizes One-Year Deferral of the New Revenue Standard, No. US2015-24 (July 10, 2015)
    John W. White
  • John Bishop, Chad Soares & Marc Jerusalem, PwC, In Depth, Lease Re-deliberations Drawing to a Close, No. US2015-07 (April 10, 2015)
    John W. White
  • Jeanette M. Franzel, Board Member, Public Company Accounting Oversight Board, Speech at the American Accounting Association Annual Meeting: Current Issues, Trends, and Open Questions in Audits of Internal Control Over Financial Reporting (August 8, 2015)
    John W. White
  • Jeanette M. Franzel, Board Member, Public Company Accounting Oversight Board, Speech at the Institute of Internal Auditors 2014 General Audit Management Conference: Effective Audits of Internal Control in the Current “Perfect Storm” (March 26, 2014)
    John W. White
  • Jeanette M. Franzel, Board Member, Public Company Accounting Oversight Board, Speech at the Institute of Internal Auditors 2015 General Audit Management Conference: Protecting Investors Through a Coordinated System of Audit and Audit Oversight (March 9, 2015)
    John W. White
  • Jay D. Hanson, Board Member, Public Company Accounting Oversight Board, Speech at the University of California—Irvine Audit Committee Summit: The PCAOB and Audit Committees—Common Goals (October 24, 2014)
    John W. White
  • Jay D. Hanson, Board Member, Public Company Accounting Oversight Board, Keynote Address at The Citadel Directors’ Institute (May 1, 2015)
    John W. White
  • Brian T. Croteau, Deputy Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission, Remarks Before the 2014 AICPA National Conference on Current SEC and PCAOB Developments (December 8, 2014)
    John W. White
  • Public Company Accounting Oversight Board, Audit Committee Dialogue, Release No. 2015-003 (May 7, 2015)
    John W. White
  • Public Company Accounting Oversight Board, Concept Release on Audit Quality Indicators, Notice of Roundtable, PCAOB Release No. 2015-005; PCAOB Rulemaking Docket Matter No. 041 (July 1, 2015)
    John W. White
  • Chair Mary Jo White, U.S. Securities and Exchange Commission, Speech at Stanford University Rock Center for Corporate Governance, Twentieth Annual Stanford Directors’ College: A Few Things Directors Should Know About the SEC (June 23, 2014)
    John W. White
  • Trends in SEC Enforcement & Internal Investigations (July 31, 2015)
    Andrew M. Lawrence, Colleen P. Mahoney, Joshua A. Ellis, Erich T. Schwartz, Charles F. Walker
  • Outline of Selected SEC Enforcement Actions (November 2014)
    Andrew J. Ceresney
  • Whistleblower Protections Under SOX, Dodd-Frank and the CFPA
    Linda Chatman Thomsen
  • The SEC’s Admissions Policy: An Evolving Approach (August 10, 2015)
    Victoria Bohannan, Dixie L. Johnson
  • A Look Back at Omnicare: The Supreme Court’s Ruling on Actionable Statements of Opinion
    Meaghan VerGow, Jeffrey W. Kilduff, Brad Garcia
  • The Current Landscape of Securities Litigation from the Plaintiff’s Perspective
    Gerald H. Silk
  • Federal Court Interpretations of Recent Landmark Supreme Court Cases: Halliburton II, Janus, Comcast and Morrison
    Yafit Cohn, Jonathan K. Youngwood, Camille Fletcher
  • The SEC’s “Final Four”: Remaining Dodd-Frank Governance and Executive Compensation Rulemakings
    Meredith B. Cross, Alan J. Wilson, Jennifer Zepralka, Lillian Brown
  • Cybersecurity and Securities Law: Trends in SEC Activity
    Ciarra Chavarria, David B. H. Martin, Keir Gumbs
  • SEC Proposes Rules Requiring Hedging Disclosure
    Keir Gumbs
  • SEC Renewed Focus on Audit Committees
    Jack B. Jacobs, Thomas J. Kim, Holly J. Gregory
  • An Issue-Annotated Version of the SOx Rules for Lawyer Conduct [A Continuing Work-in-Process] (August 2015)
    Simon M. Lorne

Presentation Material


  • Welcome
  • Keynote Address
    Mary Jo White
  • How’s Life in the Capital Markets (How Strong is the Pulse)?
    Sebastian Gomez Abero, Steven E. Bochner, Leslie K. Gardner, David B. Harms, Keith F. Higgins, Peter M. McGoff, Richard D. Truesdell, Jr.
  • What to Do in a Crisis: Cybersecurity, Investigations, Whistleblowers, What Else?
    Susan L. Blount, Thomas A. Cole, Lorin L. Reisner, Samuel C. Scott
  • Activism in 2016: Understanding the Dynamics of the Changing Landscape and Changing Roles
    Michele M. Anderson, Eileen R. Cohen, Ethan A. Klingsberg, Carmen M. Molinos, Charles Penner, James C. Snyder, Jr.
  • Ethical Dilemmas in the Deal World
    David M. Becker, Barbara S. Gillers, Stanley Keller, John F. Olson
  • Featured Speaker
    Tony West
  • Welcome
  • Reality or Ghost Story? Do International Issues Matter Again in the U.S. Markets?
    Wayne E. Carnall, Paul M. Dudek, Mary Connell Lifton, Francesca L. Odell, Antonia E. Stolper
  • Fund Facts for Corporate Lawyers -- What You Need to Know About the ‘40 Act
    Barry P. Barbash, John E. Baumgardner, Jr., Stephanie R. Breslow, David W. Grim, Martin E. Lybecker, Julie M. Riewe, Marc Wyatt
  • What’s Happening in Delaware? And Why You Need to Know
    Frederick H. Alexander, Mark J. Gentile, Lawrence A. Hamermesh, Andrew J. Pincus, Pamela S. Tikellis
  • Interview and Q&A with the Staff of the Division of Corporation Finance
    Michele M. Anderson, David R. Fredrickson, Keith F. Higgins, David M. Lynn, Shelley E. Parratt
  • M&A Today: Do the Laws of Attraction Still Apply?
    Michele M. Anderson, Audra D. Cohen, Susan Huang, Steven A. Rosenblum, Faiza J. Saeed, Robert E. Spatt
  • Still a Fulcrum of Investor Protection -- Accounting Issues Facing Companies and Audit Committees
    Jeanette M. Franzel, Michael J. Gallagher, Michele J. Hooper, James V. Schnurr, John W. White
  • Government Enforcement Priorities: What’s on the Agenda Now, and in 2016?
    Leslie R. Caldwell, Andrew J. Ceresney, Aitan D. Goelman, Colleen P. Mahoney, Greg Sachrajda
  • Welcome
  • The Defense Perspective: Strategies and Practical Considerations from the Source
    George S. Canellos, Dixie L. Johnson, Robert S. Khuzami, William R. McLucas, Linda Chatman Thomsen
  • Hot Topics in Private Securities Litigation: Lessons Learned and Practice Tips From Recent Cases
    Brad S. Karp, Jeffrey W. Kilduff, Elaine H. Mandelbaum, Maeve L. O'Connor, Gerald H. Silk, Jonathan K. Youngwood
  • Disclosure Quandaries: Conflict Minerals, Clawbacks and More
    Meredith B. Cross, Marty Dunn, Karen J. Garnett, Keir D. Gumbs, Thomas J. Kim, Neila B. Radin
  • Ethics Perspectives From Former SEC General Counsels
    James R. Doty, Ralph C. Ferrara, Simon M. Lorne, Harvey L. Pitt, Richard H. Walker
  • Proskauer Chart 1
    Ralph C. Ferrara
  • Proskauer Chart 2
    Ralph C. Ferrara
Co-Chair(s)
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Carmen J. Lawrence ~ King & Spalding
David M. Lynn ~ Morrison & Foerster LLP
Moderator(s)
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
Thomas A. Cole ~ Sidley Austin LLP
Meredith B. Cross ~ Wilmer Cutler Pickering Hale and Dorr LLP
Lawrence A. Hamermesh ~ Ruby R. Vale Professor of Corporate and Business Law, Widener University Delaware Law School
David B. Harms ~ Sullivan & Cromwell LLP
Brad S. Karp ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
Ethan A. Klingsberg ~ Cleary Gottlieb Steen & Hamilton 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
Faiza J. Saeed ~ Cravath, Swaine & Moore LLP
Antonia E. Stolper ~ Shearman & Sterling LLP
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
John W. White ~ Cravath, Swaine & Moore LLP
Speaker(s)
Sebastian Gomez Abero ~ Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission
Michele M. Anderson ~ Associate Director (Legal), Division of Corporation Finance, U.S. Securities and Exchange Commission
John E. Baumgardner, Jr. ~ Sullivan & Cromwell LLP
David M. Becker ~ Chief Legal Officer and Executive Managing Director, Och-Ziff Capital Management Group
Susan L. Blount ~ Executive Vice President and General Counsel, Prudential Financial, Inc.
Steven E. Bochner ~ Wilson Sonsini Goodrich & Rosati
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
Leslie R. Caldwell ~ Assistant Attorney General, Criminal Division, U.S. Department of Justice
George S. Canellos ~ Milbank, Tweed, Hadley & McCloy LLP
Wayne E. Carnall ~ Partner, National Professional Services Group, PwC
Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Audra D. Cohen ~ Sullivan & Cromwell LLP
Eileen R. Cohen ~ Managing Director, Chair of the Governance Committee, Portfolio Manager, JPMorgan Asset Management
James R. Doty ~ Chairman, Public Company Accounting Oversight Board
Paul M. Dudek ~ Chief, Office of International Corporate Finance, Division of Corporation Finance, U.S. Securities and Exchange Commission
Martin P. Dunn ~ Morrison & Foerster LLP
Ralph C. Ferrara ~ Proskauer Rose LLP
Jeanette M. Franzel ~ Board Member, Public Company Accounting Oversight Board
David R. Fredrickson ~ Associate Director and Chief Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission
Michael J. Gallagher ~ Managing Partner, Assurance Quality, PwC
Leslie K. Gardner ~ Managing Director and Associate General Counsel, JPMorgan Chase & Co.
Karen J. Garnett ~ Associate Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission
Mark J. Gentile ~ Richards, Layton & Finger, P.A.
Barbara S. Gillers ~ Adjunct Professor of Law, New York University School of Law
Aitan D. Goelman ~ Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
David W. Grim ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Keir D. Gumbs ~ Covington & Burling LLP
Keith F. Higgins ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Michele J. Hooper ~ President and CEO, The Directors' Council
Susan Huang ~ Managing Director & Vice Chairwoman, Investment Banking, Morgan Stanley
Dixie L. Johnson ~ King & Spalding LLP
Stanley Keller ~ Locke Lord LLP
Robert S. Khuzami ~ Kirkland & Ellis LLP
Jeffrey W. Kilduff ~ O'Melveny & Myers LLP
Thomas J. Kim ~ Sidley Austin LLP
Mary Connell Lifton ~ Vice President & Counsel, Credit Suisse Securities (USA) LLC
Martin E. Lybecker ~ Perkins Coie LLP
Elaine H. Mandelbaum ~ Managing Director and General Counsel, Litigation and Regulatory Enforcement, Citi Institutional Clients Group
Peter M. McGoff ~ Senior Vice President, General Counsel & Corporate Secretary, Box, Inc.
William R. McLucas ~ Wilmer Cutler Pickering Hale and Dorr LLP
Carmen M. Molinos ~ Managing Director, Morgan Stanley, Investment Banking Division
Maeve L. O'Connor ~ Debevoise & Plimpton LLP
Francesca L. Odell ~ Cleary Gottlieb Steen & Hamilton LLP
Shelley E. Parratt ~ Deputy Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Charles Penner ~ Partner & Chief Legal Officer, JANA Partners LLC
Andrew J. Pincus ~ Mayer Brown LLP
Hon. Harvey L. Pitt ~ Founder, CEO and Managing Director, Kalorama Partners, LLC, Kalorama Legal Services PLLC
Neila B. Radin ~ Managing Director & Associate General Counsel, JPMorgan Chase & Co.
Lorin L. Reisner ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
Julie M. Riewe ~ Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Steven A. Rosenblum ~ Wachtell, Lipton, Rosen & Katz
Greg Sachrajda ~ Head of Law, Policy and International, Enforcement and Market Oversight Division, Financial Conduct Authority
James V. Schnurr ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Samuel C. Scott ~ Corporate Director, Motorola Solutions, Inc., The Bank of New York Mellon Corporation,
Gerald H. Silk ~ Bernstein Litowitz Berger & Grossmann LLP
James C. Snyder, Jr. ~ Former SVP & General Counsel ,
Robert E. Spatt ~ Simpson Thacher & Bartlett LLP
Pamela S. Tikellis ~ Chimicles & Tikellis LLP
Richard D. Truesdell, Jr. ~ Davis Polk & Wardwell LLP
Paul Verbinnen ~ President, Sard Verbinnen
Tony West ~ Executive Vice President, Government Affairs, General Counsel and Corporate Secretary , PepsiCo
Hon. Mary Jo White ~ Chair, U.S. Securities and Exchange Commission
Marc Wyatt ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Jonathan K. Youngwood ~ Simpson Thacher & Bartlett LLP
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.


U.S. MCLE States

Alabama:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

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 on-demand web programs 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 on-demand web programs are not approved for Arkansas CLE credit.

California:  PLI’s on-demand web programs 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.

Delaware:  PLI’s on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

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 on-demand web programs 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 on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

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 on-demand web programs qualify as “distance education” credit. Attorneys are limited to 6 credits of distance education per reporting period.

Iowa:  PLI’s on-demand web programs qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

Kansas:  PLI’s on-demand web programs qualify as “non-traditional” credit. Attorneys are limited to 5 credits of non-traditional programs per reporting period.

Kentucky:  PLI’s on-demand web programs qualify as “non-live” credit. Attorneys are limited to 6 non-live credits per reporting period.

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

Maine:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

Minnesota:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 15 on-demand credits per reporting period.

Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

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

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

New Hampshire:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

New Jersey:  PLI’s on-demand web programs 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 on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

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 on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

North Carolina:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

North Dakota:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

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

Oklahoma:  PLI’s on-demand web programs qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

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 on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

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

Rhode Island:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 3 on-demand credits per reporting period.

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

Tennessee:  PLI’s on-demand web programs 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 on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

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 on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  PLI’s on-demand web programs qualify as “A/V” credit. Attorneys are limited to 22.5 credits of A/V programs per reporting period.

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 10 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as “QAS Self-Study” credit. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

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

Certified Fraud Examiner CPE:  PLI’s on-demand web programs may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at cleadministrator@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

IIEI Recertification:  PLI’s on-demand web programs may qualify for the Continuing Education Units (CEUs) necessary to fulfill the Certified U.S. Export Compliance Officer® (CUSECO) continuing education requirements.

 

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