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Understanding the Securities Laws Fall 2014

Webcast  Webcast

This is a webcast of the live New York session.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 provides 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 ...

Hedge Fund Compliance & Regulatory Challenges 2015

Groupcast  Groupcast

Co-Sponsored by Pennsylvania Bar InstituteAttendees in Pennsylvania will be viewing the live broadcast at the Pennsylvania Bar Institute's CLE Conference Center, Wanamaker Building, 10th floor, Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). You will have the opportunity to submit questions and will receive the printed Course Handbook.As our first educational conference of 2015 focused on ...

Institute on Securities Regulation in Europe (Fourteenth Annual): Practical Implications of U.S. Law on EU Practice

Seminar  Seminar

Why You Should Attend We are proud to present Practising Law Institute’s Fourteenth Annual Institute on Securities Regulation in Europe, the most comprehensive securities programme available in Europe, with a unique focus on the application of U.S. securities law in the EU.  This Institute will provide the important U.S. perspective relevant to UK and European practice, featuring leading practitioners active in the U.S. and Europe, as ...

Corporate Governance - A Master Class 2015

Seminar  SeminarWebcast  Webcast

Webcast of live New York Session. Public companies and their directors and officers face increasing responsibilities and are under intense scrutiny from investors and regulators. Legal and regulatory changes, including Sarbanes-Oxley, Dodd-Frank and listing standards, as well as overall changing expectations in the marketplace contribute to this new challenging environment. Corporate governance provides the framework within ...

Broker-Dealer Advisory Services 2015: Current Legal and Compliance Issues Facing Dual Registrants

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by Pennsylvania Bar InstituteAttendees in Pennsylvania will be viewing the live broadcast at the Pennsylvania Bar Institute's CLE Conference Center, Wanamaker Building, 10th floor, Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). You will have the opportunity to submit questions and will receive the printed Course Handbook. Broker-dealers that are dually registered as investment ...

The SEC Speaks in 2015

Seminar  SeminarWebcast  Webcast

This is a webcast of the live Washington, D.C session.Mark Your Calendar.  More Information to Come!

Investment Management Institute 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

This is a webcast of the live New York session.You’ll hear expert panelists discuss: significant business and legal developments in the investment management area over the past year and important regulatory initiatives such as: The SEC’s regulatory agenda New money-market fund regulations New SEC staff guidance Potential new rulemakings relating to target date funds and exchange-traded funds Possible modifications of ...

Financial Services Conflicts of Interest & Fiduciary Duties: Navigating the Emerging Regulatory Maze

Seminar  SeminarWebcast  Webcast

Why You Should Attend The SEC and DOL continue to consider rulemaking that could dramatically change the regulatory framework establishing fiduciary duties and obligations for broker-dealers, advisors and service providers in the retirement marketplace. Likewise, commodity trading and municipal advisors have to be mindful of fiduciary obligations that apply to their activity. At the same time, regulators are pressing firms to identify and address ...

The Foreign Corrupt Practices Act and International Anti-Corruption Developments 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

This is a webcast of the live New York session.Mark Your Calendar.  More Information to Come!

Global Capital Markets & the U.S. Securities Laws 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by Pennsylvania Bar InstituteAttendees in Pennsylvania will be viewing the live broadcast at the Pennsylvania Bar Institute's CLE Conference Center, Wanamaker Building, 10th floor, Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). You will have the opportunity to submit questions and will receive the printed Course Handbook.Mark Your Calendar.  More Information to Come!

Fundamentals of Broker-Dealer Regulation 2015

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Co-Sponsored by Pennsylvania Bar InstituteAttendees in Pennsylvania will be viewing the live broadcast at the Pennsylvania Bar Institute's CLE Conference Center, Wanamaker Building, 10th floor, Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). You will have the opportunity to submit questions and will receive the printed Course Handbook.Mark Your Calendar. More Information to Come!

Fundamentals of Investment Adviser Regulation 2015

Seminar  SeminarWebcast  Webcast

Mark Your Calendar.  More Information to Come!

Understanding the Securities Laws Summer 2015

Seminar  Seminar

Mark Your Calendar.  More Information to Come!

Fundamentals of Swaps & Other Derivatives 2015

Seminar  SeminarWebcast  Webcast

This is a webcast of the live New York session.Mark Your Calendar.  More Information to Come!

Advanced Swaps & Other Derivatives 2015

Seminar  SeminarWebcast  Webcast

This is a webcast of the live New York session.Mark Your Calendar.  More Information to Come!

Broker/Dealer Regulation and Enforcement 2015

Seminar  SeminarWebcast  Webcast

Webcast of live New York session.Mark Your Calendar.  More Information to Come.

Securities Regulation Institute (47th Annual)

Seminar  SeminarWebcast  Webcast

This is a webcast of the live New York session.Mark Your Calendar.  More Information to Come!

Featured Faculty/Authors
Rebecca Walker

Rebecca Walker ~ Kaplan & Walker LLP

K. Susan Grafton

K. Susan Grafton ~ K&L Gates LLP

Garner K. Weng

Garner K. Weng ~ Hanson Bridgett LLP