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Showing 25 Results

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Corporate Political Activities 2017: Complying with Campaign Finance, Lobbying and Ethics Laws

Program  Program

Please note: this program does not offer legal ethics credit. 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 to attend this acclaimed program ...

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 ...

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 ...

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 ...

The SEC Speaks in 2018

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

Corporate Governance - A Master Class 2018

Program  ProgramWebcast  Webcast

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Investment Management Institute 2018

Program  ProgramWebcast  Webcast

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Enforcement 2018: Perspectives from Government Agencies

Program  ProgramWebcast  Webcast

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Internal Investigations 2018

Program  Program

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Fundamentals of Investment Adviser Regulation 2018

Program  ProgramWebcast  Webcast

Mark Your Calendar.  More Information to Come!


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