Seminar  Seminar

Global Capital Markets & the U.S. Securities Laws 2014: Raising Capital in an Evolving Regulatory Environment

Why you should attend

Capital markets are adjusting to a wide range of evolving regulatory standards which affect the way in which offerings are conducted around the world. At the same time, issuers around the world are subject to changing accounting and corporate governance standards, while market participants navigate new ground in derivative product regulation. Issuers and market participants also face an increasingly active global enforcement environment targeting activities taking place around the world. This program will keep securities lawyers up-to-date on domestic and international regulatory and market developments, bringing together an engaging group of expert practitioners and senior regulators for an in-depth look at how the U.S. securities laws work in the context of a rapidly evolving global regulatory environment.

What you will learn

Some of the areas this year’s program will cover are:

  • The latest developments with global regulatory efforts
  • Efforts to promote capital formation through private and public offerings
  • Evolving accounting, disclosure and governance standards for issuers
  • Current developments with private and public offering practices
  • Global regulation of alternative investment vehicles
  • Significant changes in global derivatives product regulation
  • Securities enforcement in an increasingly global regulatory environment

Who should attend

This program is aimed at the lawyer with practices involving securities regulation and capital markets. It will be valuable to lawyers in law firms, financial institutions or multinational companies. The material is advanced, so it is suitable for an experienced practitioner who needs to keep current with developments in international securities regulation.

9:00 Introduction and Opening Remarks
Speakers: Paul M. Dudek, David M. Lynn

9:15 Global Capital Markets Perspectives in 2014
  • The state of capital markets in a global environment
  • Role of the G20 and FSB in financial regulation
  • The SEC’s international regulatory agenda
Speakers: Susan Baker, Eric Pan

10:15 Hot Topics in Capital Markets
  • Disclosure developments
  • The latest developments with Rule 144A and Regulation S offerings
  • The impact of the JOBS Act
  • Global offering techniques
Speakers: Martin P. Dunn, Z Julie Gao, Nicolas Grabar, Daniel K. Winterfeldt

11:15 Networking Break

11:30 IRFS and Other Accounting Matters
  • Prospects for the use of IFRS by U.S. issuers
  • The SEC’s work plan for IFRS
  • Practical advice for foreign private issuers using IFRS
  • The regulatory and institutional framework of IFRS
Speakers: Wayne E. Carnall, Mary B. Tokar

12:30 Lunch Break

1:45 Corporate Governance
  • Investor responses to governance concerns
  • Regulatory measures to strengthen corporate governance
  • A global perspective on governance reforms
Speakers: Joseph P. Babits, Eric W. Blanchard, Carol Phethean

2:45 Alternative Investment Vehicles and Derivatives Regulation
  • Private equity and hedge fund regulation
  • Investment Company Act and broker-dealer issues in global practice
  • EU and SEC approaches to alternative investment funds
  • Developments with global derivatives regulation
Speakers: Matthew A. Chambers, Susan C. Ervin, Barbara A. Stettner

3:45 Networking Break

4:00 Enforcement Developments
  • Liability risk in global offerings
  • International convergence and enforcement
  • Global FCPA practices
Speakers: Michael D. Mann, Joan E. McKown, Linda Chatman Thomsen

Program Attorney(s)
Willis Goodmoore ~ Program Attorney, Practising Law Institute

New York City Seminar Location

PLI New York Center
, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. Message Center, program days only: (212) 824-5733.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (at 48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036.  Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute.  You can also book online at

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569.  When calling, please mention Practising Law Institute.  You can also book online at

Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.

PLI seminars qualify for credit in all states that require mandatory continuing legal education for attorneys. Please be sure to check with your state.

Please check the Credit Information box to the right of each product description for credit information specific to your state.

Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys.  All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.

Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.

Related Items

Live Seminars  Live Seminars

Understanding the Securities Laws Fall 2015 (New York, NY) Dec. 17 - 18, 2015
Understanding the Securities Laws Fall 2015 (Chicago, IL) Oct. 27 - 28, 2015
Understanding the Securities Laws Summer 2015 (New York, NY) Jul. 23 - 24, 2015
Global Capital Markets & the U.S. Securities Laws 2015 (New York, NY) May. 29, 2015

On-Demand  On-Demand Programs

Understanding the Securities Laws Fall 2014 Dec. 26, 2014

Handbook  Course Handbook Archive

Understanding the Securities Laws Fall 2015  
Global Capital Markets & the U.S. Securities Laws 2015 Paul M Dudek, U.S. Securities and Exchange Commission
David M Lynn, Morrison & Foerster LLP
Understanding the Securities Laws Fall 2014 Gary M Brown, CMG Life Services, Inc.
Mark D Wood, Katten Muchin Rosenman LLP
N. Adele Hogan, Hogan Law Associates PLLC
Understanding the Securities Laws Summer 2014 N. A Hogan,
N. Adele Hogan, Watson Farley & Williams LLP
Andrea Lowenthal, Australia and New Zealand Banking Group
William A. Newman, Barton LLP
Lori B. Marino, ITT Corporation
Linda E. Rappaport, Shearman & Sterling LLP
Richard F. Langan, Jr., Nixon Peabody LLP
Dennis J. Block, Greenberg Traurig, LLP
Stuart D. Fishman, JPMorgan Chase & Co.
Kenneth L. Josselyn, Goldman, Sachs & Co.
Mary Gail Gearns, Morgan Lewis & Bockius LLP
Calissa W. Brown, DuPont
David K. Boston, Willkie Farr & Gallagher LLP
John A. Marzulli, Jr., Shearman & Sterling LLP
Anna T. Pinedo, Morrison & Foerster LLP
Rosa A. Testani, Akin Gump Strauss Hauer & Feld LLP
Douglas Koff, Bracewell & Giuliani LLP
Lawrence G. Wee, Paul, Weiss, Rifkind, Wharton & Garrison LLP
Harold B. Dichter, ARAMARK Corporation
Adam Fleisher, Cleary Gottlieb Steen & Hamilton LLP
Martha E. Solinger, Lehman Brothers Holdings, Inc.
Thomas W. Yang, Bank of America Merrill Lynch
Andrew J. Pitts, Cravath, Swaine & Moore LLP
Shelley J. Dropkin, Citigroup Inc.
Andrew N. Siegel, Perella Weinberg Partners
Jennifer L. Nadborny, Simpson Thacher & Bartlett LLP
Brian S. Korn, Manatt, Phelps & Phillips, LLP
Amanda Ravitz, U.S. Securities and Exchange Commission
Eileen McCarthy, JetBlue Airways Corporation
Understanding the Securities Laws Summer 2015  
Global Capital Markets & the U.S. Securities Laws 2014: Raising Capital in an Evolving Regulatory Environment Paul M Dudek,
David M Lynn,
Item# 51335
Location:  New York, NY
We are sorry, but this program is no longer available for purchase online. For more information please call our Customer Service Department at (800) 260-4PLI.

Seminar attendance includes course handbook and associated course materials. A downloadable course handbook will also be available several days prior to the program start for your review.