Seminars & Webcasts

Corporate & Securities

Financial Products

• May. 31, 2013 New York, NY

• May. 31, 2013 Webcast

• May. 31, 2013 Pittsburgh, PA
• May. 31, 2013 Philadelphia, PA
• May. 31, 2013 Mechanicsburg, PA

The Dodd-Frank Act and related developments ushered in new rules for broker-dealers and advisors in the municipal market arena. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealer and advisor municipal securities activity. Discussion will include the interplay between the various regulators with respect to municipal securities activity and offer practical compliance considerations.

• Jun. 5, 2013 New York, NY

• Jun. 5, 2013 Webcast

• Jun. 5, 2013 Pittsburgh, PA
• Jun. 5, 2013 New Brunswick, NJ
• Jun. 5, 2013 Mechanicsburg, PA
• Jun. 5, 2013 Columbus, OH
• Jun. 5, 2013 Philadelphia, PA
• Jun. 5, 2013 Boston, MA

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting ...

• Jun. 20, 2013

• Jun. 24, 2013 New York, NY

• Jun. 24, 2013 Webcast

• Jun. 24, 2013 Pittsburgh, PA
• Jun. 24, 2013 Mechanicsburg, PA
• Jun. 24, 2013 Birmingham, AL
• Jun. 24, 2013 Boston, MA
• Jun. 24, 2013 New Brunswick, NJ
• Jun. 24, 2013 Philadelphia, PA

Major changes in broker-dealer regulation and the industry have come about as a result of the financial services crisis and the resulting regulatory reform. At the same time, FINRA’s overhaul of its rulebook as part of its Rulebook Consolidation process is almost complete. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealers, including what to expect next regarding broker-dealer regulation. ...

• Jul. 17, 2013 New York, NY

• Jul. 17, 2013 Webcast

• Jul. 17, 2013 Birmingham, AL
• Jul. 17, 2013 Philadelphia, PA
• Jul. 17, 2013 Mechanicsburg, PA
• Jul. 17, 2013 New Brunswick, NJ
• Jul. 17, 2013 Pittsburgh, PA
• Jul. 17, 2013 Boston, MA

In the aftermath of the financial crisis and the resulting regulatory reform, the SEC has advanced significant rulemaking to impose a greater degree of controls on investment advisers’ operations. In fact, the SEC has put the regulation of investment advisers under the microscope, establishing new rules related to adviser custody, political contributions and adviser disclosure and has retooled its adviser exam program.At this program, attendees will ...

• Jul. 25 - 26, 2013 New York, NY
• Oct. 24 - 25, 2013 Chicago, IL
• Dec. 12 - 13, 2013 New York, NY

• Jul. 25 - 26, 2013 Webcast

• Jul. 25 - 26, 2013 New Brunswick, NJ
• Jul. 25 - 26, 2013 Cleveland, OH
• Jul. 25 - 26, 2013 Boston, MA

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 and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley ...

• Sep. 12, 2013 New York, NY

• Sep. 12, 2013 Webcast

• Sep. 12, 2013 Birmingham, AL
• Sep. 12, 2013 Columbus, OH
• Sep. 12, 2013 Boston, MA

In 2012, hedge funds and their managers faced their first year of operations under new regulations enacted under Dodd-Frank. New entrants to the hedge fund industry now had large barriers to entry; existing managers had to deal not only with new regulations but many were also forced to grapple with regulatory investigations and insider trading allegations. At the same time, hedge fund managers had to continue to deal with the day-to-day operational ...

• Oct. 16, 2013 New York, NY
• Oct. 16, 2013 Columbus, OH

• Oct. 16, 2013 Webcast

• Oct. 16, 2013 Birmingham, AL
• Oct. 16, 2013 Pittsburgh, PA
• Oct. 16, 2013 Philadelphia, PA
• Oct. 16, 2013 Mechanicsburg, PA

Over-the-counter (OTC) derivatives are key elements in many of our financial markets. The Dodd-Frank Act is substantially changing 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 a designated reference asset or entity between the parties thereto. Derivatives ...

• Oct. 17 - 18, 2013 New York, NY

• Oct. 17 - 18, 2013 Webcast

The Dodd-Frank Act establishes a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products. The far-reaching effect of the Dodd-Frank Act upon the OTC markets is only now becoming clear.The new regulatory regime touches the activities of all participants in the swaps markets, from end users to major swap participants to swap dealers. The new regulations will also ...

• Dec. 3, 2013 San Francisco, CA

• Dec. 3, 2013 Webcast

At this program, our expert faculty of lawyers, venture capitalists and business executives will analyze the legal and business issues relevant to navigating today’s evolving venture capital world.Geared toward the experienced venture capital practitioner who knows the basics of venture capital and is seeking an in-depth analysis of current market conditions and the changing legal environment, this program will also address the latest financing trends, ...

• Dec. 5, 2013 New York, NY

As the securitization industry emerges from the financial crisis, it faces an onslaught of new regulation and uncertainty. Many transactions have been downgraded and have suffered unforeseeable losses. Additionally, investor confidence in structured products has been badly shaken. Moreover, many transactions have been subject to restructurings and litigation of various types. Will these reforms be sufficient to restore investor confidence?At this ...