Seminars & Webcasts

Corporate & Securities

General

• 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 New York, NY
• Nov. 18 - 19, 2013 San Francisco, CA

• Nov. 18 - 19, 2013 Webcast

Legal drivers for corporate compliance and ethics programs continue to grow in complexity and importance. Compliance programs are now widely expected by enforcement personnel and key stakeholders, and good practices continue to evolve. In addition, the costs of non-compliance have never been greater. Enforcement risks increase as governments work together more than ever before, and harsh penalties are increasingly becoming the norm both inside and ...

• 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 New York, NY

• Oct. 28 - 29, 2013 Webcast

• Oct. 28 - 29, 2013 Cleveland, OH
• Oct. 28 - 29, 2013 Boston, MA
• Oct. 28 - 29, 2013 Philadelphia, PA
• Oct. 28 - 29, 2013 Pittsburgh, PA
• Oct. 28 - 29, 2013 Mechanicsburg, PA

The year 2013 brings new risks and new opportunities for companies sourcing or providing critical services, including information technology, finance and accounting, human resources, facilities management, analytics and other critical non-core functions. There are new technologies, such as Big Data and cloud computing. There are new laws and regulations, and in more and more countries. Also, cloud computing and other innovations have created new issues ...

• 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. 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. 1, 2013 New York, NY

• Nov. 1, 2013 Webcast

• Nov. 1, 2013 Philadelphia, PA
• Nov. 1, 2013 Atlanta, GA
• Nov. 1, 2013 Pittsburgh, PA
• Nov. 1, 2013 Columbus, OH
• Nov. 1, 2013 Cleveland, OH
• Nov. 1, 2013 Mechanicsburg, PA
• Nov. 1, 2013 Boston, MA

Lawyers counseling businesses must possess a solid foundation in principles of antitrust law and an understanding of the latest antitrust developments. Running afoul of antitrust rules can result in class actions and treble damage litigation as well as government enforcement and adverse publicity. Are you prepared to provide practical answers to the antitrust questions your clients will ask? You will be after attending this program, developed with ...

• Nov. 4 - 5, 2013 Chicago, IL

The ability to identify and appropriately use financial and accounting information is relevant to a wide range of legal and regulatory matters for attorneys and allied professionals. Litigators and transactional attorneys alike will benefit from this practical course designed specifically for non-accountants and taught by members of the nation’s top accounting, tax and advisory firms, leading law firms, in-house counsel and universities.

• Nov. 5, 2013

• 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. 12, 2013

• 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 ...

• Dec. 2 - 3, 2013 New York, NY
• Dec. 5 - 6, 2013 Chicago, IL

Stay current on disclosure requirements and developments affecting annual disclosure documents, proxy soliciting materials, and ongoing disclosure practices of SEC reporting companies, as well as financial reporting developments, ethical compliance challenges facing lawyers, and more. Hear from an expert faculty, including SEC staff, in-house counsel and private practitioners who will focus on current “hot issues,” best practices and practical pointers. ...

• 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 ...

• Dec. 4, 2013 New York, NY

Attorneys admitted to the New York State Bar after 1997 are required to complete 16 hours of approved continuing legal education courses per year during the first two years of admission, including three credit hours of approved continuing legal education in ethics/professionalism, six credit hours in skills, and seven credit hours in professional practice and/or law practice management.By attending PLI’s one-day Bridge-the-Gap II: Ethics and Skills ...

• 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 ...

• Dec. 12 - 13, 2013 Washington, DC

This year, the Obama Administration formally launched its export control reform initiative with the filing of the first so-called Section 38(f) notifications, to be followed by the publication of final rules transferring export control jurisdiction of a large number of items from the State Department to the Commerce Department. Congress has enacted even stronger sanctions legislation targeting Iran, including new securities reporting requirements, ...

• Jan. 3, 2014 New York, NY

Newly admitted attorneys in New York State are required, during each of their first two years after admission to the Bar, to complete at least 16 transitional CLE credit hours in ethics and professionalism, skills, and law practice management and/or areas of professional practice.By attending PLI’s Bridge-the-Gap I: Ethics and Skills for Newly Admitted New York Attorneys 2014, you can fulfill all of your ethics and skills MCLE requirements ...

• 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. 9, 2014 Palo Alto, CA

Silicon Valley remains one of the most active deal markets in the world today. The broad array of fast-growing companies – from start-ups to major public companies, and the constantly evolving industry sectors – has long attracted top legal, investor and investment banking talent, and produced a wide variety of transactions ranging from seed and venture capital financings to some of the largest and most high-profile IPOs and M&A transactions in ...

• Jan. 10, 2014 New York, NY
• Jan. 22, 2014 San Francisco, CA
• Feb. 6, 2014 Chicago, IL

• Jan. 10, 2014 Webcast

• Jan. 10, 2014 Cleveland, OH
• Jan. 10, 2014 Birmingham, AL
• Jan. 10, 2014 Atlanta, GA
• Jan. 10, 2014 Pittsburgh, PA
• Jan. 10, 2014 Mechanicsburg, PA
• Jan. 10, 2014 Philadelphia, PA
• Jan. 10, 2014 Boston, MA
• Jan. 10, 2014 Columbus, OH

At this perennial favorite, our expert faculty will teach you the basics of drafting and negotiating corporate agreements - from how the provisions of an agreement fit together, to the fundamental drafting and negotiating principles common to all corporate agreements. You will learn how to reduce your client’s goals to a complete, clearly written and enforceable agreement, and how to identify what issues are most likely to come up in a negotiation ...

• Jan. 15, 2014 New York, NY

• Jan. 15, 2014 Webcast

• Jan. 15, 2014 Atlanta, GA

Article 9 of the Uniform Commercial Code applies to secured transactions, which are interests in specific collateral granted by the debtor in conjunction with the debtor’s promise to pay. At Secured Transactions 2014: What Lawyers Need to Know About UCC Article 9, you will learn the fundamentals of acquiring a security interest, including how to attach, to perfect (filing and non-filing methods) and to gain (and maintain) priority in the collateral ...

• Jan. 16 - 17, 2014 New York, NY

• Jan. 16 - 17, 2014 Webcast

• Jan. 16 - 17, 2014 Philadelphia, PA
• Jan. 16 - 17, 2014 Pittsburgh, PA
• Jan. 16 - 17, 2014 Boston, MA
• Jan. 16 - 17, 2014 Mechanicsburg, PA
• Jan. 16 - 17, 2014 New Brunswick, NJ

Effective negotiations and deal execution require that M&A practitioners be well versed in the latest trends. Recent developments in M&A transactions have included novel walk-away provisions, tailored go-shop provisions and new twists on reverse break-up fees. In a race to the finish line, some two-step tender offer transactions have proceeded on a dual track, in which a one-step merger transaction is pursued while the tender offer is proceeding. ...