Seminars & Webcasts

Seminars

Corporate & Securities

Investment Fund Management

• Sep. 26 - 27, 2013 New York, NY
• Oct. 28 - 29, 2013 San Francisco, CA
• Nov. 14 - 15, 2013 Chicago, IL

This popular program will analyze in detail the principal forms used for filings with the SEC under the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of 1934 (“Exchange Act”), with particular emphasis on the mechanics of and timing for assembling particular filings. Each segment of the program will incorporate practical drafting and disclosure tips. Ethics credit and recent legislation and SEC rule changes affecting disclosure ...

• Oct. 16, 2013 New York, NY

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.  ...

• Oct. 17 - 18, 2013 New York, NY

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.  That regulatory framework is now being implemented and its effect are 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 ...

• Oct. 23, 2013 New York, NY

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, ...

• Dec. 5, 2013 New York, NY

As the securitization world continues to emerge from the financial crisis, it faces a continuing flow of new regulation and, in some cases, uncertainty. Some asset-backed securities (ABS) and mortgage-backed securities (MBS) markets are experiencing robust activity, with issuance volumes steadily rising.  Other markets are slower to reemerge.  The regulatory landscape continues to be unclear, although significant new regulatory developments ...

• Jan. 6 - 7, 2014 New York, NY

The explosion of new financial products over the past decade, the implosion of the credit markets and the resulting significant new regulatory requirements underline the importance of a basic understanding of financial products. While these instruments have been, in the view of many, invaluable investment tools, and have presented enormous potential for product manufacturers and investors, they also create potentially significant legal risks and challenges ...

• Jan. 22, 2014 New York, NY

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• Feb. 5, 2014 New York, NY

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• Feb. 19, 2014 New York, NY

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• Mar. 6 - 7, 2014 New York, NY

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• Apr. 1, 2014 New York, NY

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• Apr. 23, 2014 New York, NY

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• Jun. 4, 2014 New York, NY

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• Jun. 23, 2014 New York, NY

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• Jun. 30. - Jul. 1, 2014 New York, NY

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• Jul. 16, 2014 New York, NY

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

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• Sep. 4 - 5, 2014 New York, NY
• Oct. 27 - 28, 2014 San Francisco, CA
• Nov. 13 - 14, 2014 Chicago, IL

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• Sep. 11, 2014 New York, NY

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• Sep. 29, 2014 New York, NY

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• Oct. 15, 2014 New York, NY

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• Oct. 16 - 17, 2014 New York, NY

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• Oct. 22, 2014 New York, NY

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• Dec. 4, 2014 New York, NY

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