Seminars & Webcasts

Corporate & Securities

Regulatory Ethics

• 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 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. 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. 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 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. 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. 6 - 7, 2014 New York, NY

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 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

Mark Your Calendar.  More Information to Come!