Seminars & Webcasts

Corporate & Securities

Enforcement

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

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 of 1933 and the Securities Exchange Act of 1934 and related SEC regulations, ...

• Oct. 30, 2013 New York, NY

• Oct. 30, 2013 Webcast

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

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

PLI’s Annual Institute on Securities Regulation has become the most highly anticipated annual review of the current state of securities, financial regulation and corporate law and practice.  We are pleased to co-chair the 45th edition of this important event, and to present you with this year’s agenda.  As always, we strive to bring you the most up-to-date information in response to the many changes of the past year.  As we continue ...

• Nov. 19, 2013 New York, NY

• Nov. 19, 2013 Webcast

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

• Feb. 12, 2014 New York, NY

• Feb. 12, 2014 Webcast

• Feb. 12, 2014 Birmingham, AL
• Feb. 12, 2014 Boston, MA
• Feb. 12, 2014 Cleveland, OH

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• Feb. 19, 2014 New York, NY

• Feb. 19, 2014 Webcast

Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny and are subject to a number of new and evolving regulatory framework. At this program, attendees will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and ...

• Feb. 21 - 22, 2014 Washington, DC

• Feb. 21 - 22, 2014 Webcast

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• Mar. 6 - 7, 2014 New York, NY

• Mar. 6 - 7, 2014 Webcast

• Mar. 6 - 7, 2014 Philadelphia, PA
• Mar. 6 - 7, 2014 Pittsburgh, PA
• Mar. 6 - 7, 2014 Mechanicsburg, PA

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 regulations affecting money-market funds Potential SEC staff guidance regarding valuation, derivatives and other areas Potential new regulatory initiatives relating to target date funds and exchange-traded funds Possible modifications ...

• Mar. 20 - 21, 2014 London, GBR

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• Apr. 25, 2014 New York, NY

• Apr. 25, 2014 Webcast

• Apr. 25, 2014 New Brunswick, NJ
• Apr. 25, 2014 Cleveland, OH

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• May. 1 - 2, 2014 New York, NY

• May. 1 - 2, 2014 Webcast

• May. 1 - 2, 2014 Philadelphia, PA
• May. 1 - 2, 2014 Mechanicsburg, PA
• May. 1 - 2, 2014 Cleveland, OH
• May. 1 - 2, 2014 Pittsburgh, PA

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• Jun. 4, 2014 New York, NY

• Jun. 4, 2014 Webcast

• Jun. 4, 2014 Columbus, OH
• Jun. 4, 2014 Pittsburgh, PA
• Jun. 4, 2014 Philadelphia, PA
• Jun. 4, 2014 Mechanicsburg, PA
• Jun. 4, 2014 New Brunswick, NJ

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• Jun. 10, 2014 Chicago, IL
• Jun. 24, 2014 Cleveland, OH
• Jun. 24, 2014 Philadelphia, PA
• Jun. 24, 2014 Mechanicsburg, PA
• Jun. 24, 2014 New York, NY
• Jun. 24, 2014 Pittsburgh, PA

• Jun. 24, 2014 Webcast

• Jun. 24, 2014 Boston, MA
• Jun. 24, 2014 Atlanta, GA
• Jun. 24, 2014 Columbus, OH

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• Jun. 23, 2014 New York, NY

• Jun. 23, 2014 Webcast

• Jun. 23, 2014 Mechanicsburg, PA
• Jun. 23, 2014 New Brunswick, NJ
• Jun. 23, 2014 Boston, MA
• Jun. 23, 2014 Pittsburgh, PA
• Jun. 23, 2014 Philadelphia, PA

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• Jul. 16, 2014 New York, NY

• Jul. 16, 2014 Webcast

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• Jul. 24 - 25, 2014 New York, NY
• Oct. 23 - 24, 2014 Chicago, IL
• Dec. 11 - 12, 2014 New York, NY

• Dec. 11 - 12, 2014 Webcast

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• Sep. 11 - 12, 2014 Washington, DC

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• Oct. 15, 2014 New York, NY

• Oct. 15, 2014 Webcast

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• Oct. 16 - 17, 2014 New York, NY

• Oct. 16 - 17, 2014 Webcast

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• Oct. 22, 2014 New York, NY

• Oct. 22, 2014 Webcast

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• Oct. 29, 2014 New York, NY

• Oct. 29, 2014 Webcast

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• Nov. 5 - 7, 2014 New York, NY

• Nov. 5 - 7, 2014 Webcast

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• Nov. 18, 2014 New York, NY

• Nov. 18, 2014 Webcast

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