Narrow Your Results
Narrow Your Results

Display:

Seminars & Webcasts

On-Demand

Publications

Faculty/Authors

News/Blogs

CLE and Other Credit Types

CLE  

Search Programs

CLE Jurisdictions

CPD  

CPE (NASBA)  

CFE  

Search for programs by jurisdiction or CLE credit type:

 
 
  Not all credit types are available in all jurisdictions. If you choose multiple states and multiple credit types, you may end up with 0 results.  
 



 

   
      

Search for Programs with CPD Credits in:


   

   

Showing 12 Results

List View Table View

Internal Investigations 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Knowing how to conduct efficient and effective 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, an expert faculty will review the fundaments of conducting an internal investigation, as well as touch on the many more nuanced and practical issues that arise.  A real-world ...

Insider Trading Law 2016: Salman, Newman, and the Road Ahead

Seminar  SeminarWebcast  Webcast

Why You Should Attend Insider trading is a critical area of criminal and civil enforcement and will likely remain so for some time to come.  Following the Second Circuit’s ground-breaking decision on tippee liability in United States v. Newman, and the Ninth Circuit’s seminal decision on the same issue in United States v. Salman, the law’s contours are in flux.  Enter the Supreme Court, whose decision in Salman could ...

Fundamentals of Investment Adviser Regulation 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Over the past few years, the SEC has put the regulation of investment advisers under the microscope, with advisers becoming a major focus of the SEC’s 2016 enforcement and exam program.  The SEC has set high expectations for advisers in identifying and responding to conflicts of interests and for providing robust and targeted client disclosures. At this program, attendees will get a solid foundation in the regulatory ...

Understanding the Securities Laws 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend 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 as well as SEC staff. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of ...

Fundamentals of Broker-Dealer Regulation 2016

Seminar  SeminarWebcast  Webcast

Why You Should Attend Major changes in the broker-dealer industry and regulatory framework continue as a result of the financial services crisis, the resulting regulatory reform and other trends and developments.  At the same time, FINRA’s rewrite of its Rulebook is almost complete, and broker-dealers have become subject to DOL’s new stringent rules imposing a fiduciary duty with respect to their sales in connection with their IRA ...

Corporate Political Activities 2016: Complying with Campaign Finance, Lobbying and Ethics Laws

Seminar  Seminar

Please note that this program does not qualify for legal ethics credit. Why You Should Attend Federal and state lobbying, campaign finance and ethics rules are changing, making compliance with those laws more challenging than ever. Congressional ethics rules, the Lobbying Disclosure Act (LDA) and pay-to-play laws place additional responsibilities on companies and their executives and directors. To stay current on the latest developments, be sure ...

Broker/Dealer Regulation and Enforcement 2016

Seminar  SeminarWebcast  Webcast

Mark Your Calendar. More Information to Come!

Fundamentals of Swaps & Other Derivatives 2016

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Over-the-counter (OTC) derivatives are key elements in many of our financial markets.  The Dodd-Frank Act and other new regulations have changed and are continuing to change how these important instruments are regulated and transacted.  This program will introduce you to both the instruments and their new environment. A derivative is a financial instrument that allocates the risks and price exposures associated with ...

48th Annual Institute on Securities Regulation

Seminar  SeminarWebcast  Webcast

Why You Should Attend For more than four decades, PLI’s Annual Institute 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 the practical information, insights and real-world strategies and solutions to the many challenges ...


  • FOLLOW PLI:
  • facebook
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2016 Practising Law Institute. Continuing Legal Education since 1933.