Seminars & Webcasts

Corporate & Securities

Regulatory Ethics

• Sep. 12, 2013 New York, NY

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

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 ...

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

• Sep. 26 - 27, 2013 New Brunswick, NJ
• Sep. 26 - 27, 2013 Cleveland, OH
• Sep. 26 - 27, 2013 Boston, MA

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. 10 - 11, 2013 New York, NY
• Nov. 4 - 5, 2013 Chicago, IL

• Oct. 10 - 11, 2013 Pittsburgh, PA
• Oct. 10 - 11, 2013 Boston, MA
• Oct. 10 - 11, 2013 New Brunswick, NJ
• Oct. 10 - 11, 2013 Mechanicsburg, PA
• Oct. 10 - 11, 2013 Cleveland, OH
• Oct. 10 - 11, 2013 Philadelphia, PA

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.

• Oct. 30, 2013 New York, NY

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

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

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

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 the SEC staff and our faculty who will focus on current “hot issues,” best practices and practical pointers. The year 2013 appears headed towards being another ...