Seminars & Webcasts

Corporate & Securities

Enforcement

• Jun. 5, 2013 New York, NY

• Jun. 5, 2013 Webcast

• Jun. 5, 2013 New Brunswick, NJ
• Jun. 5, 2013 Columbus, OH
• Jun. 5, 2013 Boston, MA

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 ...

• Jun. 11, 2013 Chicago, IL
• Jun. 25, 2013 New York, NY

• Jun. 25, 2013 Webcast

• Jun. 25, 2013 Philadelphia, PA
• Jun. 25, 2013 Pittsburgh, PA
• Jun. 25, 2013 Cleveland, OH
• Jun. 25, 2013 Atlanta, GA
• Jun. 25, 2013 Mechanicsburg, PA

Knowing how to conduct effective and efficient internal investigations is key to protecting your clients or company. Companies and their counsel need to be diligent and proactive in identifying risks and remedying potential issues. At this program, panels of experts from the private bar, in-house and the government use a real-world hypothetical fact pattern throughout the day to review the many considerations and issues that can and do arise from ...

• Jun. 24, 2013 New York, NY

• Jun. 24, 2013 Webcast

• Jun. 24, 2013 Mechanicsburg, PA
• Jun. 24, 2013 New Brunswick, NJ
• Jun. 24, 2013 Birmingham, AL
• Jun. 24, 2013 Philadelphia, PA
• Jun. 24, 2013 Pittsburgh, PA
• Jun. 24, 2013 Boston, MA

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform. At the same time, FINRA’s overhaul of its rulebook as part of its Rulebook Consolidation process is almost complete. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. ...

• Jul. 17, 2013 New York, NY

• Jul. 17, 2013 Webcast

• Jul. 17, 2013 Birmingham, AL
• Jul. 17, 2013 Philadelphia, PA
• Jul. 17, 2013 Pittsburgh, PA
• Jul. 17, 2013 Boston, MA
• Jul. 17, 2013 Mechanicsburg, PA
• Jul. 17, 2013 New Brunswick, NJ

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.At this program, attendees will ...

• Jul. 25 - 26, 2013 New York, NY
• Oct. 24 - 25, 2013 Chicago, IL
• Dec. 12 - 13, 2013 New York, NY

• Jul. 25 - 26, 2013 Webcast

• Jul. 25 - 26, 2013 New Brunswick, NJ
• Jul. 25 - 26, 2013 Cleveland, OH
• Jul. 25 - 26, 2013 Boston, MA

Whether you are new to the field or seeking a quick refresher or an update, this is a securities law primer that you won’t want to miss. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley ...

• Sep. 30. - Oct. 1, 2013 Washington, DC

Lobbying, campaign finance and ethics rules in Washington, and in every state, are changing, and new court cases are affecting lobbyists, corporations, associations, and unions.  Compliance with federal, state and local laws is more complex than ever. Congressional ethics rules, the Lobbying Disclosure Act (LDA), pay-to-play laws, as well as increasing pressure on corporations to disclose to shareholders their contributions and lobby expenditures, ...

• Oct. 23, 2013 New York, NY

• Oct. 23, 2013 Webcast

The Dodd-Frank Act - frequently described as the most sweeping reform legislation in decades - and the contemplated, proposed or final rules implementing it, have significant implications for broker-dealers. The concurrent proliferation of new regulation and record-breaking enforcement activity by the DOJ, SEC, CFTC, states and SROs have created a strained and overburdened environment for legal and compliance personnel. This program brings ...

• Oct. 30, 2013 New York, NY

• Oct. 30, 2013 Webcast

• Oct. 30, 2013 Birmingham, AL
• Oct. 30, 2013 Mechanicsburg, PA
• Oct. 30, 2013 Columbus, OH
• Oct. 30, 2013 Pittsburgh, PA
• Oct. 30, 2013 Philadelphia, PA

In the aftermath of the financial crisis and recent scandals, and targeted examination and enforcement scrutiny, financial services firms’ corporate compliance and ethics programs are under intense observation. At this program, attendees will get a solid foundation in the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators ...

• Nov. 6 - 8, 2013 New York, NY

• Nov. 6 - 8, 2013 Webcast

For over four decades, PLI’s Annual Institute has been the premiere 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 the practical information, insights and real-world strategies and solutions to the many challenges facing you and your clients ...

• Nov. 19, 2013 New York, NY

• Nov. 19, 2013 Webcast

• Nov. 19, 2013 Pittsburgh, PA
• Nov. 19, 2013 Mechanicsburg, PA
• Nov. 19, 2013 Boston, MA
• Nov. 19, 2013 Philadelphia, PA

The government’s continued crackdown on insider trading has focused on hedge funds, their consultants and those who analyze and trade for them. Regulators and enforcement officials have now turned their sights to conflicts of interest, valuation, cross-trades, expense and trade allocation, and fee practices. Following new registration requirements under Dodd-Frank, private equity firms are under examination scrutiny by the SEC, and according to senior ...