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Showing 1 - 25 of 28 Results

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Understanding the Securities Laws 2017

Program  Program

Why You Should Attend Whether you are new to the field or seeking a quick refresher or an update, this is the 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 ...

White Collar Crime 2017: Prosecutors and Regulators Speak

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend In recent years, the Department of Justice, the SEC, the CFTC, and other U.S. and foreign agencies have pressed forward with a white collar enforcement program of unprecedented scope and severity. The recent changes in the U.S. administration have created additional uncertainty about what to expect in this arena.  With a spotlight on the financial services sector, the authorities have advanced novel theories and have exacting ...

Broker/Dealer Regulation and Enforcement 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Why You Should Attend This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency ...

Fundamentals of Swaps & Other Derivatives 2017

Program  ProgramWebcast  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 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 current environment. A derivative is a financial instrument that allocates the risks and price exposures associated with ...

Advanced Swaps & Other Derivatives 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The Dodd-Frank Act established a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products.  That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC.  For their part, the SEC has made substantial progress and has most recently focused on finalizing the rules applicable ...

Financial Services Industry Regulatory Compliance Forum 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Why You Should Attend Financial services firms’ corporate compliance and ethics programs continue to be under intense regulatory scrutiny. Many new rules have been issued which impact the manner in which financial services firms operate. At this program, attendees will get a solid foundation about the relevant regulatory framework, as well ...

49th Annual Institute on Securities Regulation

Program  ProgramWebcast  Webcast

What You Will Learn IPOs and public offerings by seasoned issuers Private offerings and public offerings by smaller reporting companies Legislative and regulatory developments in a new administration Focus on disclosure: regulatory action and practical considerations What’s new in accounting and financial reporting? Ethical issues in transactional settings Taking a closer look at securities opinions ...

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This conference will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight.  The list of risk areas continues to grow, with ...

Annual Disclosure Documents 2017: Current Developments and Best Practices

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay current on disclosure requirements and developments affecting annual disclosure documents and proxy soliciting materials prepared by SEC reporting companies. Hear from the SEC staff and our faculty, who will focus on anticipated changes to the SEC disclosure regime in 2017, current “hot issues,” best practices, and practical pointers. The priorities of the new administration and new chair of the SEC are expected to bring significant ...

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

Program  ProgramWebcast  Webcast

We are proud to present Practising Law Institute’s Seventeenth 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. The 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 well as company management, investment ...

The SEC Speaks in 2018

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

Understanding the Securities Laws 2018

Program  Program

Mark Your Calendar.  More Information to Come!


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