Seminars & Webcasts

Corporate & Securities

Investment Fund Management

• Oct. 16, 2013 New York, NY

• Oct. 16, 2013 Webcast

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

• 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. 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 ...

• 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

• Jan. 6 - 7, 2014 Webcast

The explosion of new financial products over the decade leading up to the financial crisis, the implosion of the credit markets in 2008, 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 ...

• Jan. 22, 2014 New York, NY

• Jan. 22, 2014 Webcast

• Jan. 22, 2014 Pittsburgh, PA
• Jan. 22, 2014 Philadelphia, PA
• Jan. 22, 2014 Mechanicsburg, PA
• Jan. 22, 2014 Columbus, OH

The insurance industry continues to navigate the legal environment in meeting insurance and retirement needs in the face of regulatory initiatives adopted in recent years, and ongoing initiatives for regulatory and legislative change, as well as new technological developments. This timely program provides critical content on the prevailing and emerging legal issues practitioners must understand and insights into product development. As the evolving ...

• Jan. 28, 2014 New York, NY

• Jan. 28, 2014 Birmingham, AL

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• Feb. 5, 2014 New York, NY

• Feb. 5, 2014 Webcast

• Feb. 5, 2014 Atlanta, GA
• Feb. 5, 2014 Cleveland, OH

This course provides an introduction to the basics of ERISA fiduciary law using a case-study vehicle.  At this year’s program, you will learn about the principal issues in ERISA’s regulation of plan investments through a case study of a hypothetical plan asset hedge fund exploring entry in the plan marketplace and a plan investor considering such an alternative investment.  The program also will utilize a hypothetical fiduciary training ...

• 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 ...

• 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 ...

• Apr. 1, 2014 New York, NY

• Apr. 1, 2014 Webcast

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• Apr. 22, 2014 New York, NY

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• Apr. 23, 2014 New York, NY

• Apr. 23, 2014 Webcast

• Apr. 23, 2014 Columbus, OH
• Apr. 23, 2014 Boston, MA

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

• Jun. 30. - Jul. 1, 2014 Webcast

• Jun. 30. - Jul. 1, 2014 Philadelphia, PA
• Jun. 30. - Jul. 1, 2014 Boston, MA
• Jun. 30. - Jul. 1, 2014 Pittsburgh, PA
• Jun. 30, 2014 - Jul. 1, 2015 New Brunswick, NJ
• Jun. 30. - Jul. 1, 2014 Mechanicsburg, 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. 4 - 5, 2014 New York, NY
• Oct. 27 - 28, 2014 San Francisco, CA
• Nov. 13 - 14, 2014 Chicago, IL

• Sep. 4 - 5, 2014 Webcast

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• Sep. 11, 2014 New York, NY

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• Sep. 29, 2014 New York, NY

• Sep. 29, 2014 Webcast

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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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