Seminar  Program

50th Annual Institute on Securities Regulation


Select a Location:

Why You Should Attend

Celebrating its 50th anniversary, our annual Institute on Securities Regulation will bring together the nation’s leading securities and corporate legal experts to deliver practical information, insights and real-word strategies and solutions to the challenges facing you and your clients today.

What You Will Learn

  • The latest developments in the capital markets, from direct listings to shelf takedowns, wall crossings, SPACs and more
  • Financing issues facing late-stage private companies and smaller reporting companies
  • Review of disclosure issues and best practices for public companies
  • SEC rulemaking and interpretive developments
  • Current trends in shareholder activism and engagement
  • Accounting and auditing developments that companies, audit committees and counsel need to know
  • Recent developments in Delaware law
  • What’s trending in M&A, including key cross-border considerations
  • Updates on enforcement from state and federal regulators
  • Practical aspects of defending government enforcement actions
  • Key considerations in bringing, defending and resolving private securities litigation
  • Crisis management and prevention

Special Features

  • All new panel: “All things Crypto: The Evolving Landscape”
  • Learn from practical scenarios and realistic case studies
  • Receive practical take-away points at the conclusion of each panel
  • Network with our faculty and hundreds of your colleagues over lunch and at networking breaks
  • Earn up to two hours of Ethics credit

Who Should Attend

Attorneys and allied professionals who want to expand their knowledge and keep up with all aspects of securities regulation, including senior in-house attorneys, attorneys with expertise in other fields and all attorneys interested in understanding securities laws and the latest best practices.

 

Program Level: Overview

 

Intended Audience:  Attorneys and allied professionals who want to expand their knowledge and keep up with all aspects of securities regulation, including senior in-house attorneys, attorneys with expertise in other fields and all attorneys interested in understanding securities laws and the latest best practices. 

 

Prerequisites: None

 

Advanced Preparation: None


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 4:50 p.m.

9:00

Opening Remarks



9:15

Developments in the Capital Markets

  • Direct Listings:  The new thing?
  • Executing an IPO:  Practical guidance to help get your deal done
  • The ABCs of  Special Purpose Acquisition Companies (SPACs)
  • Offerings by the seasoned issuer:  shelf takedowns, wall crossings, bought deals and more

Moderator: Deanna L. Kirkpatrick

Panelists: Marc D. Jaffe, Christian O. Nagler, Lona Nallengara, Thomas W. Yang



10:15

Networking Break



10:35

Financing Issues Facing Late-Stage Private Companies and Smaller Reporting Companies

  • Securities law issues in venture rounds and late-stage financings
  • Liquidity issues for private companies
  • Advising the IPO candidate on dual-class stock structure
  • Public and private financings by smaller reporting companies
  • Alternative offering options and reverse mergers

Moderator: Steven E. Bochner

Panelists:  Gordon K. Davidson, David N. Feldman, Anna T. Pinedo, Jennifer A. Zepralka



11:35

Accounting and Auditing Developments

  • FASB developments, including implementing the revenue standard and preparing for leases
  • SEC developments, including tax disclosures, the latest on non-GAAP financial measures and waivers
  • PCAOB developments, including preparing for the new auditor reporting model and the agenda for the new board
  • The new accounting standard on impairments and what lawyers need to know
(CPE Field of Study: Accounting)

Moderator: John W. White

Panelists:  Wesley R. Bricker, Christine Q. Davine, Kyle Moffatt, Sharon Virag



12:35        

Networking Luncheon

Lunch will be provided as attendees network with one another and with our esteemed faculty.



1:30

Luncheon Speaker: Hon. Robert J. Jackson, Jr.



2:15

All Things Crypto: The Evolving Landscape

  • Crypto currency offerings through the lens of securities and commodities laws
  • Blockchain in action: Where are we and where do we go from here?
  • Evolving regulatory and enforcement trends
  • Challenges for advisers in cryptocurrency transactions
(CFE Field of Study: Fraud)
(IAPP Privacy credit for Privacy Professionals)

Moderator: Curtis L. Mo

Speakers: Alma M. Angotti, Valerie A. Szczepanik, K. Brent Tomer, Nancy H. Wojtas



3:30

Networking Break



3:50

Ethical Issues in Transactional Settings

  • Counsel to the deal? Keeping an eye on the ethical issues in client relationships
  • The ethical perils of opinion practice: to give or not to give, is that the question?
  • Counsel’s responsibilities for compliance and disclosure failures
  • Keeping the gate: the ethical boundaries of your zealous representation
  • Considering the ethical consequences of transaction structures and outcomes
(Ethics Credit)

Moderator: John F. Olson

Panelists:  Alan L. Beller, Jennifer A. Paradise, Anne P.  Ray



4:50

Adjourn



Day Two: 9:00 a.m. - 5:00 p.m.

9:00

Opening Remarks



9:05

Fireside Chat With Our Institute Founders

Featured Speakers:  Arthur Fleischer Jr., Robert H. Mundheim



9:50

Disclosure Challenges for Public Companies

  • Status of the SEC’s Disclosure Effectiveness Initiative
  • Refreshing your cybersecurity disclosures and implementing effective disclosure controls and procedures
  • Responding to SEC Staff comments on MD&A
  • Sustainability disclosures
(CFE Field of Study: Fraud)
(IAPP Privacy credit for Privacy Professionals)

Moderator:  Meredith B. Cross

Panelists: Thomas J. Kim, Cicely LaMothe, Michael R. Littenberg, Jennifer C. McGarey



10:50

Networking Break



11:10

Corporate Activism and Engagement: The New Normal

  • Current trends in shareholder activism and issuer engagement
  • Lowering your profile to stay out of an activist’s crosshairs
  • Picking your battles: Do you fight or settle?
  • Activism and M&A: mergers, divestitures and spins
  • Activists and ESG

Moderator: David A. Katz

Panelists: Michele M. Anderson, Stephen Fraidin, Joele Frank, Ethan A. Klingsberg



12:10

Proxy Season Never Ends: Executive Compensation and Shareholder Engagement

  • Considering CEO pay ratio disclosures: What’s next?
  • Making the grade: The impact of proxy advisors
  • The latest shareholder proposal trends
  • The role of the board when seeking to exclude shareholder proposals
  • Effective engagement with shareholders today: What works and why

Moderator: Keir D. Gumbs

Panelists: Brian V. Breheny, Lillian Brown, Martin P. Dunn, Robert McCormick



1:10

Lunch

Attendees will help themselves to lunch and then take their seats in the conference room.



1:40

Corp Fin Hot Topics: What’s on the Agenda for the Division of Corporation Finance?

  • Observations from the Director and Deputy Director about the Division’s priorities
  • Rulemaking developments
  • New and revised interpretive positions
  • Using the expanded confidential submission process and other processing issues

Moderator: David M. Lynn

Panelists: William H. Hinman, Shelley E. Parratt



2:40

Networking Break



3:00

Delaware Developments:  The Latest from the First State

  • In the courts: The most significant Delaware judicial decisions
  • Navigating evolving standards of review
  • LLC, LLP or PBC? Recent developments in Delaware alternative entity law
  • Appraisal law: where are we and where are the courts going?

Moderator: Patricia O. Vella

Panelists:  Mark J. Gentile, Lawrence A. Hamermesh, Michael A. Pittenger



4:00

M&A Roundup: Today’s Deal Landscape

  • What’s market?: The latest trends on deal terms
  • Doing deals abroad: key cross-border M&A considerations
  • Alternatives for transaction liability protection
  • The latest on business separation transactions
  • Update from the SEC’s Office of Mergers & Acquisitions

Moderator: Jane D. Goldstein

Panelists: Katharine A. Martin, Alyssa A. Grikscheit, Melissa Sawyer, Ted Yu



5:00 

Adjourn



Day Three: 9:00 a.m. - 4:45 p.m.

9:00

Opening Remarks



9:05

Up Close With the SEC’s Division of Enforcement

Featured Speakers: Stephanie Avakian, Steven R. Peikin



9:50 

Government Enforcement Priorities: No Change, Sea Change, or Somewhere in the Middle?

  • Major cases and current enforcement priorities
  • Charging and settlement decisions
  • Data analytics in detection and investigation
  • Cybersecurity
  • Main Street investors
  • Complex  products
(CFE Field of Study: Fraud)
(IAPP Privacy credit for Privacy Professionals)

Moderator: Colleen P. Mahoney 

Panelists: Marc P. Berger, Robert S Khuzami, James M. McDonald



10:50

Networking Break



11:10

Rebuttal: The Defense Perspective

  • Civil and criminal enforcement priorities and trends
  • New enforcement initiatives
  • Special considerations in conducting internal investigations and defending government investigations
  • Managing multi-agency and cross-border investigations
  • Legal and Policy Update: Administrative proceedings; disgorgement and other relief post-Kokesh, whistleblower retaliation
(CFE Field of Study: Fraud)

Moderator: Dixie L. Johnson

Panelists:  George S. Canellos, Andrew J. Ceresney, Joan E. McKown, Linda Chatman Thomsen



12:10        

Lunch



1:25

Private Securities Litigation: The Latest

  • Key considerations in bringing, defending and resolving private securities litigation
  • Litigation update: Major developments in securities and M&A litigation
  • Recent developments in shareholder derivative actions
  • Current issues in D&O insurance
  • Statutes of  repose, class action tolling and fraud on the market
(CFE Field of Study: Fraud)

Moderator: Brad S. Karp

Panelists: Ralph C. Ferrara, Elaine H. Mandelbaum, Maeve L. O’Connor, Jonathan K. Youngwood



2:25

Networking Break



2:45

Crisis Management: Keeping Calm and Coming Out the Other Side

  • Crisis prevention
  • Advance planning and training
  • Managing the crisis
  • Communicating with internal and external constituencies

Moderator: Hon. Mary Jo White

Panelists:  Stephen M. Cutler, David M. Detweiler, Winnie Lerner, William R. McLucas



3:45

Playing by the Rules: Ethics in the Investigations and Litigation Context

  • Multiple representation  issues
  • Ethical pitfalls in conducting internal investigations
  • Privilege issues in the US and abroad
  • Conflicts of interest
  • SOX Section 307: Rules of Professional Responsibility for Attorneys
(Ethics Credit)

Moderator: Richard H. Walker

Panelists:  Simon M. Lorne, James Q. Walker, Sarah F. Warren



4:45

Adjourn



Co-Chair(s)
Keith F. Higgins ~ Ropes & Gray LLP
Carmen J. Lawrence ~ King & Spalding
David M. Lynn ~ Morrison & Foerster LLP
Moderator(s)
Steven E. Bochner ~ Wilson Sonsini Goodrich & Rosati
Meredith B. Cross ~ Wilmer Cutler Pickering Hale and Dorr LLP
Jane D. Goldstein ~ Ropes & Gray LLP
Keir D. Gumbs ~ Associate General Counsel, Global Corporate, M&A and Securities, Deputy Corporate Secretary, Uber Technologies, Inc.
Dixie L. Johnson ~ King & Spalding
Brad S. Karp ~ Chairman, Paul, Weiss, Rifkind, Wharton & Garrison LLP
David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Deanna L. Kirkpatrick ~ Davis Polk & Wardwell LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Curtis L. Mo ~ DLA Piper LLP (US)
John F. Olson ~ Gibson, Dunn & Crutcher LLP
Patricia O. Vella ~ Morris, Nichols, Arsht & Tunnell LLP
Richard H. Walker ~ King & Spalding
John W. White ~ Cravath, Swaine & Moore LLP
Hon. Mary Jo White ~ Debevoise & Plimpton LLP
Speaker(s)
Michele M. Anderson ~ Associate Director (Legal), Division of Corporation Finance, U.S. Securities and Exchange Commission
Alma M. Angotti ~ Managing Director and Co-Head of Global Investigations and Compliance, Navigant Consulting, Inc.
Stephanie Avakian ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Wesley R. Bricker ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Lillian Brown ~ Wilmer Cutler Pickering Hale and Dorr LLP
George S. Canellos ~ Milbank, Tweed, Hadley & McCloy LLP
Andrew J. Ceresney ~ Debevoise & Plimpton LLP
Stephen M. Cutler ~ Simpson Thacher & Bartlett LLP
Gordon K. Davidson ~ Fenwick & West LLP
Christine Q. Davine ~ Deputy Managing Partner – Quality & Professional Practice, Deloitte LLP
David M. Detweiler ~ Executive Vice President and General Counsel, Volkswagen Group of America, Inc.
Martin P. Dunn ~ Morrison & Foerster LLP
David N. Feldman ~ Duane Morris LLP
Ralph C. Ferrara ~ Proskauer Rose LLP
Arthur Fleischer, Jr. ~ Senior Counsel, Fried, Frank, Harris, Shriver & Jacobson LLP
Stephen Fraidin ~ Cadwalader, Wickersham & Taft LLP
Joele Frank ~ Managing Partner, Joele Frank, Wilkinson Brimmer Katcher
Mark J. Gentile ~ Richards, Layton & Finger, PA
Alyssa A. Grikscheit ~ Sidley Austin LLP
Lawrence A. Hamermesh ~ Executive Director, Institute for Law and Economics, University of Pennsylvania Law School
William H. Hinman ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Robert J. Jackson, Jr. ~ Commissioner, U.S. Securities and Exchange Commission
Marc D. Jaffe ~ Latham & Watkins LLP
Robert S Khuzami ~ Deputy U.S. Attorney, U.S. Department of Justice, U.S. Attorney's Office, Southern District of New York
Thomas J. Kim ~ Sidley Austin LLP
Ethan A. Klingsberg ~ Cleary Gottlieb Steen & Hamilton LLP
Cicely LaMothe ~ Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Winnie Lerner ~ Managing Partner & Deputy CEO, North America, Finsbury
Michael R. Littenberg ~ Ropes & Gray LLP
Simon M. Lorne ~ Vice Chairman and Chief Legal Officer, Millennium Management LLC
Elaine H. Mandelbaum ~ Managing Director and General Counsel, Litigation and Regulatory Enforcement, Citi Institutional Clients Group
Katharine A. Martin ~ Wilson Sonsini Goodrich & Rosati
Robert McCormick ~ Partner, CamberView Partners, LLC
James M. McDonald ~ Director, Division of Enforcement, Commodity Futures Trading Commission
Jennifer C. McGarey ~ Corporate Vice President & Secretary, Northrop Grumman Corporation
Joan E. McKown ~ Jones Day
William R. McLucas ~ Wilmer Cutler Pickering Hale and Dorr LLP
Kyle Moffatt ~ Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
Robert H. Mundheim ~ Shearman & Sterling LLP
Christian O. Nagler ~ Kirkland & Ellis LLP
Lona Nallengara ~ Shearman & Sterling LLP
Maeve L. O'Connor ~ Debevoise & Plimpton LLP
Jennifer A. Paradise ~ White & Case LLP
Shelley E. Parratt ~ Deputy Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Anna T. Pinedo ~ Mayer Brown LLP
Michael A. Pittenger ~ Potter Anderson & Corroon LLP
Anne P. Ray ~ Senior Claims Examiner, Global Management Liability, Markel Corporation
Melissa Sawyer ~ Sullivan & Cromwell LLP
Valerie A. Szczepanik ~ Associate Director and Senior Advisor for Digital Assets and Innovation, Division of Corporation Finance , U.S. Securities and Exchange Commission
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
K. Brent Tomer ~ Chief Trial Attorney, Division of Enforcement, U.S. Commodity Futures Trading Commission
Sharon Virag ~ Chief Financial Officer, NeoGenomics Laboratories
James Q. Walker ~ Richards Kibbe & Orbe LLP
Sarah F. Warren ~ Associate General Counsel & Special Counsel, Fried, Frank, Harris, Shriver & Jacobson LLP
Nancy H. Wojtas ~ Cooley LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Jonathan K. Youngwood ~ Simpson Thacher & Bartlett LLP
Ted Yu ~ Chief, Office of Mergers and Acquisitions, Division of Corporation Finance , U.S. Securities and Exchange Commission
Jennifer A. Zepralka ~ Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission
Program Attorney(s)
Danielle B. Cohen ~ Senior Program Attorney, Practising Law Institute

New York Seminar Location and Hotel Accommodations

The Roosevelt Hotel, 45 East 45th Street, New York, NY 10017. (212) 661-9600.  A block of rooms has been reserved for this program.  Please call reservations at 1-888-833-3969 and mention Practising Law Institute.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live seminars qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

California:  PLI’s live seminars qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Illinois: All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Iowa:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Kansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Louisiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Maine:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Minnesota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Mississippi:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Missouri:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Montana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nebraska:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nevada:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Mexico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live seminars can be used to fulfill the requirements for newly admitted attorneys. All credit categories may be earned via transitional live seminars.

North Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars

North Dakota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Ohio:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oklahoma:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Puerto Rico:  All PLI products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Rhode Island:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

South Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Tennessee:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Vermont:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live seminars qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All PLI products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

West Virginia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wisconsin:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wyoming:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live seminars qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live seminars qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC): PLI’s live seminars can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live seminars qualify as “live” credit. There is no limit to the number of points an attorney can earn via live seminars.

United Kingdom (CPD-UK):  PLI’s live seminars can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live seminars qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via live seminars.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s live seminars may fulfill CLPD credit requirements.

Other Credit Types

CPE Credit (NASBA): PLI’s live seminars qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE): PLI’s live seminars may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live seminars may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live seminars may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live seminars may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live seminars qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live seminars qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live seminars may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live seminars may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live seminars may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live seminars may fulfill CFP credit requirements.

 

Why You Should Attend

Celebrating its 50th anniversary, our annual Institute on Securities Regulation will bring together the nation’s leading securities and corporate legal experts to deliver practical information, insights and real-word strategies and solutions to the challenges facing you and your clients today.

What You Will Learn

  • The latest developments in the capital markets, from direct listings to shelf takedowns, wall crossings, SPACs and more
  • Financing issues facing late-stage private companies and smaller reporting companies
  • Review of disclosure issues and best practices for public companies
  • SEC rulemaking and interpretive developments
  • Current trends in shareholder activism and engagement
  • Accounting and auditing developments that companies, audit committees and counsel need to know
  • Recent developments in Delaware law
  • What’s trending in M&A, including key cross-border considerations
  • Updates on enforcement from state and federal regulators
  • Practical aspects of defending government enforcement actions
  • Key considerations in bringing, defending and resolving private securities litigation
  • Crisis management and prevention

Special Features

  • All new panel: “All things Crypto: The Evolving Landscape”
  • Learn from practical scenarios and realistic case studies
  • Receive practical take-away points at the conclusion of each panel
  • Network with our faculty and hundreds of your colleagues over lunch and at networking breaks
  • Earn up to two hours of Ethics credit

Who Should Attend

Attorneys and allied professionals who want to expand their knowledge and keep up with all aspects of securities regulation, including senior in-house attorneys, attorneys with expertise in other fields and all attorneys interested in understanding securities laws and the latest best practices.

 

Program Level: Overview

 

Intended Audience:  Attorneys and allied professionals who want to expand their knowledge and keep up with all aspects of securities regulation, including senior in-house attorneys, attorneys with expertise in other fields and all attorneys interested in understanding securities laws and the latest best practices. 

 

Prerequisites: None

 

Advanced Preparation: None


PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 9:00 a.m. - 4:50 p.m.

9:00

Opening Remarks



9:15

Developments in the Capital Markets

  • Direct Listings:  The new thing?
  • Executing an IPO:  Practical guidance to help get your deal done
  • The ABCs of  Special Purpose Acquisition Companies (SPACs)
  • Offerings by the seasoned issuer:  shelf takedowns, wall crossings, bought deals and more

Moderator: Deanna L. Kirkpatrick

Panelists: Marc D. Jaffe, Christian O. Nagler, Lona Nallengara, Thomas W. Yang



10:15

Networking Break



10:35

Financing Issues Facing Late-Stage Private Companies and Smaller Reporting Companies

  • Securities law issues in venture rounds and late-stage financings
  • Liquidity issues for private companies
  • Advising the IPO candidate on dual-class stock structure
  • Public and private financings by smaller reporting companies
  • Alternative offering options and reverse mergers

Moderator: Steven E. Bochner

Panelists:  Gordon K. Davidson, David N. Feldman, Anna T. Pinedo, Jennifer A. Zepralka



11:35

Accounting and Auditing Developments

  • FASB developments, including implementing the revenue standard and preparing for leases
  • SEC developments, including tax disclosures, the latest on non-GAAP financial measures and waivers
  • PCAOB developments, including preparing for the new auditor reporting model and the agenda for the new board
  • The new accounting standard on impairments and what lawyers need to know
(CPE Field of Study: Accounting)

Moderator: John W. White

Panelists:  Wesley R. Bricker, Christine Q. Davine, Kyle Moffatt, Sharon Virag



12:35        

Networking Luncheon

Lunch will be provided as attendees network with one another and with our esteemed faculty.



1:30

Luncheon Speaker: Hon. Robert J. Jackson, Jr.



2:15

All Things Crypto: The Evolving Landscape

  • Crypto currency offerings through the lens of securities and commodities laws
  • Blockchain in action: Where are we and where do we go from here?
  • Evolving regulatory and enforcement trends
  • Challenges for advisers in cryptocurrency transactions
(CFE Field of Study: Fraud)
(IAPP Privacy credit for Privacy Professionals)

Moderator: Curtis L. Mo

Speakers: Alma M. Angotti, Valerie A. Szczepanik, K. Brent Tomer, Nancy H. Wojtas



3:30

Networking Break



3:50

Ethical Issues in Transactional Settings

  • Counsel to the deal? Keeping an eye on the ethical issues in client relationships
  • The ethical perils of opinion practice: to give or not to give, is that the question?
  • Counsel’s responsibilities for compliance and disclosure failures
  • Keeping the gate: the ethical boundaries of your zealous representation
  • Considering the ethical consequences of transaction structures and outcomes
(Ethics Credit)

Moderator: John F. Olson

Panelists:  Alan L. Beller, Jennifer A. Paradise, Anne P.  Ray



4:50

Adjourn



Day Two: 9:00 a.m. - 5:00 p.m.

9:00

Opening Remarks



9:05

Fireside Chat With Our Institute Founders

Featured Speakers:  Arthur Fleischer Jr., Robert H. Mundheim



9:50

Disclosure Challenges for Public Companies

  • Status of the SEC’s Disclosure Effectiveness Initiative
  • Refreshing your cybersecurity disclosures and implementing effective disclosure controls and procedures
  • Responding to SEC Staff comments on MD&A
  • Sustainability disclosures
(CFE Field of Study: Fraud)
(IAPP Privacy credit for Privacy Professionals)

Moderator:  Meredith B. Cross

Panelists: Thomas J. Kim, Cicely LaMothe, Michael R. Littenberg, Jennifer C. McGarey



10:50

Networking Break



11:10

Corporate Activism and Engagement: The New Normal

  • Current trends in shareholder activism and issuer engagement
  • Lowering your profile to stay out of an activist’s crosshairs
  • Picking your battles: Do you fight or settle?
  • Activism and M&A: mergers, divestitures and spins
  • Activists and ESG

Moderator: David A. Katz

Panelists: Michele M. Anderson, Stephen Fraidin, Joele Frank, Ethan A. Klingsberg



12:10

Proxy Season Never Ends: Executive Compensation and Shareholder Engagement

  • Considering CEO pay ratio disclosures: What’s next?
  • Making the grade: The impact of proxy advisors
  • The latest shareholder proposal trends
  • The role of the board when seeking to exclude shareholder proposals
  • Effective engagement with shareholders today: What works and why

Moderator: Keir D. Gumbs

Panelists: Brian V. Breheny, Lillian Brown, Martin P. Dunn, Robert McCormick



1:10

Lunch

Attendees will help themselves to lunch and then take their seats in the conference room.



1:40

Corp Fin Hot Topics: What’s on the Agenda for the Division of Corporation Finance?

  • Observations from the Director and Deputy Director about the Division’s priorities
  • Rulemaking developments
  • New and revised interpretive positions
  • Using the expanded confidential submission process and other processing issues

Moderator: David M. Lynn

Panelists: William H. Hinman, Shelley E. Parratt



2:40

Networking Break



3:00

Delaware Developments:  The Latest from the First State

  • In the courts: The most significant Delaware judicial decisions
  • Navigating evolving standards of review
  • LLC, LLP or PBC? Recent developments in Delaware alternative entity law
  • Appraisal law: where are we and where are the courts going?

Moderator: Patricia O. Vella

Panelists:  Mark J. Gentile, Lawrence A. Hamermesh, Michael A. Pittenger



4:00

M&A Roundup: Today’s Deal Landscape

  • What’s market?: The latest trends on deal terms
  • Doing deals abroad: key cross-border M&A considerations
  • Alternatives for transaction liability protection
  • The latest on business separation transactions
  • Update from the SEC’s Office of Mergers & Acquisitions

Moderator: Jane D. Goldstein

Panelists: Katharine A. Martin, Alyssa A. Grikscheit, Melissa Sawyer, Ted Yu



5:00 

Adjourn



Day Three: 9:00 a.m. - 4:45 p.m.

9:00

Opening Remarks



9:05

Up Close With the SEC’s Division of Enforcement

Featured Speakers: Stephanie Avakian, Steven R. Peikin



9:50 

Government Enforcement Priorities: No Change, Sea Change, or Somewhere in the Middle?

  • Major cases and current enforcement priorities
  • Charging and settlement decisions
  • Data analytics in detection and investigation
  • Cybersecurity
  • Main Street investors
  • Complex  products
(CFE Field of Study: Fraud)
(IAPP Privacy credit for Privacy Professionals)

Moderator: Colleen P. Mahoney 

Panelists: Marc P. Berger, Robert S Khuzami, James M. McDonald



10:50

Networking Break



11:10

Rebuttal: The Defense Perspective

  • Civil and criminal enforcement priorities and trends
  • New enforcement initiatives
  • Special considerations in conducting internal investigations and defending government investigations
  • Managing multi-agency and cross-border investigations
  • Legal and Policy Update: Administrative proceedings; disgorgement and other relief post-Kokesh, whistleblower retaliation
(CFE Field of Study: Fraud)

Moderator: Dixie L. Johnson

Panelists:  George S. Canellos, Andrew J. Ceresney, Joan E. McKown, Linda Chatman Thomsen



12:10        

Lunch



1:25

Private Securities Litigation: The Latest

  • Key considerations in bringing, defending and resolving private securities litigation
  • Litigation update: Major developments in securities and M&A litigation
  • Recent developments in shareholder derivative actions
  • Current issues in D&O insurance
  • Statutes of  repose, class action tolling and fraud on the market
(CFE Field of Study: Fraud)

Moderator: Brad S. Karp

Panelists: Ralph C. Ferrara, Elaine H. Mandelbaum, Maeve L. O’Connor, Jonathan K. Youngwood



2:25

Networking Break



2:45

Crisis Management: Keeping Calm and Coming Out the Other Side

  • Crisis prevention
  • Advance planning and training
  • Managing the crisis
  • Communicating with internal and external constituencies

Moderator: Hon. Mary Jo White

Panelists:  Stephen M. Cutler, David M. Detweiler, Winnie Lerner, William R. McLucas



3:45

Playing by the Rules: Ethics in the Investigations and Litigation Context

  • Multiple representation  issues
  • Ethical pitfalls in conducting internal investigations
  • Privilege issues in the US and abroad
  • Conflicts of interest
  • SOX Section 307: Rules of Professional Responsibility for Attorneys
(Ethics Credit)

Moderator: Richard H. Walker

Panelists:  Simon M. Lorne, James Q. Walker, Sarah F. Warren



4:45

Adjourn



Co-Chair(s)
Keith F. Higgins ~ Ropes & Gray LLP
Carmen J. Lawrence ~ King & Spalding
David M. Lynn ~ Morrison & Foerster LLP
Moderator(s)
Steven E. Bochner ~ Wilson Sonsini Goodrich & Rosati
Meredith B. Cross ~ Wilmer Cutler Pickering Hale and Dorr LLP
Jane D. Goldstein ~ Ropes & Gray LLP
Keir D. Gumbs ~ Associate General Counsel, Global Corporate, M&A and Securities, Deputy Corporate Secretary, Uber Technologies, Inc.
Dixie L. Johnson ~ King & Spalding
Brad S. Karp ~ Chairman, Paul, Weiss, Rifkind, Wharton & Garrison LLP
David A. Katz ~ Wachtell, Lipton, Rosen & Katz
Deanna L. Kirkpatrick ~ Davis Polk & Wardwell LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Curtis L. Mo ~ DLA Piper LLP (US)
John F. Olson ~ Gibson, Dunn & Crutcher LLP
Patricia O. Vella ~ Morris, Nichols, Arsht & Tunnell LLP
Richard H. Walker ~ King & Spalding
John W. White ~ Cravath, Swaine & Moore LLP
Hon. Mary Jo White ~ Debevoise & Plimpton LLP
Speaker(s)
Michele M. Anderson ~ Associate Director (Legal), Division of Corporation Finance, U.S. Securities and Exchange Commission
Alma M. Angotti ~ Managing Director and Co-Head of Global Investigations and Compliance, Navigant Consulting, Inc.
Stephanie Avakian ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Alan L. Beller ~ Cleary Gottlieb Steen & Hamilton LLP
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Brian V. Breheny ~ Skadden, Arps, Slate, Meagher & Flom LLP
Wesley R. Bricker ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Lillian Brown ~ Wilmer Cutler Pickering Hale and Dorr LLP
George S. Canellos ~ Milbank, Tweed, Hadley & McCloy LLP
Andrew J. Ceresney ~ Debevoise & Plimpton LLP
Stephen M. Cutler ~ Simpson Thacher & Bartlett LLP
Gordon K. Davidson ~ Fenwick & West LLP
Christine Q. Davine ~ Deputy Managing Partner – Quality & Professional Practice, Deloitte LLP
David M. Detweiler ~ Executive Vice President and General Counsel, Volkswagen Group of America, Inc.
Martin P. Dunn ~ Morrison & Foerster LLP
David N. Feldman ~ Duane Morris LLP
Ralph C. Ferrara ~ Proskauer Rose LLP
Arthur Fleischer, Jr. ~ Senior Counsel, Fried, Frank, Harris, Shriver & Jacobson LLP
Stephen Fraidin ~ Cadwalader, Wickersham & Taft LLP
Joele Frank ~ Managing Partner, Joele Frank, Wilkinson Brimmer Katcher
Mark J. Gentile ~ Richards, Layton & Finger, PA
Alyssa A. Grikscheit ~ Sidley Austin LLP
Lawrence A. Hamermesh ~ Executive Director, Institute for Law and Economics, University of Pennsylvania Law School
William H. Hinman ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Robert J. Jackson, Jr. ~ Commissioner, U.S. Securities and Exchange Commission
Marc D. Jaffe ~ Latham & Watkins LLP
Robert S Khuzami ~ Deputy U.S. Attorney, U.S. Department of Justice, U.S. Attorney's Office, Southern District of New York
Thomas J. Kim ~ Sidley Austin LLP
Ethan A. Klingsberg ~ Cleary Gottlieb Steen & Hamilton LLP
Cicely LaMothe ~ Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Winnie Lerner ~ Managing Partner & Deputy CEO, North America, Finsbury
Michael R. Littenberg ~ Ropes & Gray LLP
Simon M. Lorne ~ Vice Chairman and Chief Legal Officer, Millennium Management LLC
Elaine H. Mandelbaum ~ Managing Director and General Counsel, Litigation and Regulatory Enforcement, Citi Institutional Clients Group
Katharine A. Martin ~ Wilson Sonsini Goodrich & Rosati
Robert McCormick ~ Partner, CamberView Partners, LLC
James M. McDonald ~ Director, Division of Enforcement, Commodity Futures Trading Commission
Jennifer C. McGarey ~ Corporate Vice President & Secretary, Northrop Grumman Corporation
Joan E. McKown ~ Jones Day
William R. McLucas ~ Wilmer Cutler Pickering Hale and Dorr LLP
Kyle Moffatt ~ Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
Robert H. Mundheim ~ Shearman & Sterling LLP
Christian O. Nagler ~ Kirkland & Ellis LLP
Lona Nallengara ~ Shearman & Sterling LLP
Maeve L. O'Connor ~ Debevoise & Plimpton LLP
Jennifer A. Paradise ~ White & Case LLP
Shelley E. Parratt ~ Deputy Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Anna T. Pinedo ~ Mayer Brown LLP
Michael A. Pittenger ~ Potter Anderson & Corroon LLP
Anne P. Ray ~ Senior Claims Examiner, Global Management Liability, Markel Corporation
Melissa Sawyer ~ Sullivan & Cromwell LLP
Valerie A. Szczepanik ~ Associate Director and Senior Advisor for Digital Assets and Innovation, Division of Corporation Finance , U.S. Securities and Exchange Commission
Linda Chatman Thomsen ~ Davis Polk & Wardwell LLP
K. Brent Tomer ~ Chief Trial Attorney, Division of Enforcement, U.S. Commodity Futures Trading Commission
Sharon Virag ~ Chief Financial Officer, NeoGenomics Laboratories
James Q. Walker ~ Richards Kibbe & Orbe LLP
Sarah F. Warren ~ Associate General Counsel & Special Counsel, Fried, Frank, Harris, Shriver & Jacobson LLP
Nancy H. Wojtas ~ Cooley LLP
Thomas W. Yang ~ Managing Director & Associate General Counsel, Bank of America Merrill Lynch
Jonathan K. Youngwood ~ Simpson Thacher & Bartlett LLP
Ted Yu ~ Chief, Office of Mergers and Acquisitions, Division of Corporation Finance , U.S. Securities and Exchange Commission
Jennifer A. Zepralka ~ Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission
Program Attorney(s)
Danielle B. Cohen ~ Senior Program Attorney, Practising Law Institute
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered. If two or more individuals wish to participate in a webcast and receive credit, PLI would be happy to provide a Groupcast – group viewing of a webcast. To schedule a Groupcast, please contact PLI at groupcasts@pli.edu.


U.S. MCLE States

Alabama:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live webcasts qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

California:  PLI’s live webcasts qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live webcasts qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live webcasts qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live webcasts qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

Iowa:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kentucky:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Louisiana:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Minnesota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Mississippi:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Montana:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Nebraska:  PLI’s live webcasts qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s live webcasts qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live webcasts can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live webcasts. Skills credits may not be earned via live webcasts.

North Carolina:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

North Dakota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Ohio:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  All PLI products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Rhode Island:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

South Carolina:  PLI’s live webcasts qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live webcasts qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  All PLI products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

West Virginia:  PLI’s live webcasts qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Wyoming:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live webcasts qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live webcasts qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live webcasts can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 15 points of distance learning programs per reporting period.

United Kingdom (CPD-UK):  PLI’s live webcasts can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live webcasts may fulfill Australia’s CPD requirements. Credit limits for live webcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s live webcasts may fulfill CLPD credit requirements.

Other Credit Types

CPE Credit (NASBA):  PLI’s live webcasts qualify as the “Group-Internet-Based” (GIB) delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s live webcasts may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live webcasts may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live webcasts may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live webcasts may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live webcasts qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live webcasts qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live webcasts may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live webcasts may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live webcasts may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live webcasts may fulfill CFP credit requirements.

 

Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.