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“Disaster” Looms in Dearth of Small-Advisor Exams: Former SEC Chair

Blog  Blog Post

Posted on: Fri, 10 Nov 2017 18:09:48 +0000

“It’s a real problem that keeps me up at night,” White said in a keynote address in New York at the Practicing Law Institute.More

IPO Lock-Ups: File or Confidentially Submit?

Blog  Blog Post

Posted on: Mon, 13 Nov 2017 18:06:42 +0000

Some good practical tips from a panel on IPOs and Public Offerings by Seasoned Issuers, held at last week’s 49th Annual PLI Institute on Securities Regulation, could come in handy. More

SEC task force to crack down on abuse of retail investors

Blog  Blog Post

Posted on: Tue, 14 Nov 2017 19:30:13 +0000

(These) "are subject matters that impact and matter to Main Street investors," Lara Shalov Mehraban, associate regional director for enforcement in the SEC's New York office, said this week at a conference hosted by the Practising Law Institute in New York and broadcast online.More

Speed Not IRS’s Friend as Agency Looks to Implement Tax Reform

Blog  Blog Post

Posted on: Wed, 13 Dec 2017 17:04:47 +0000

The deemed repatriation measures in the House and Senate bills will be especially important to address early on, Daniel M. McCall, deputy associate chief counsel (International-Technical) in the IRS Office of Chief Counsel, said Dec. 7 at a Practising Law Institute conference in Los Angeles.More

Outlook 2018: More Scrutiny, Enforcement for Employment Visas

Blog  Blog Post

Posted on: Tue, 19 Dec 2017 17:01:17 +0000

“That’s highly unusual,” Fragomen said during the Practising Law Institute’s Immigration and Naturalization Institute.More

Outlook 2018: ‘Dreamer’ Bill Possible Amid Immigration Stalemate

Blog  Blog Post

Posted on: Wed, 20 Dec 2017 16:37:42 +0000

Republicans in Congress are “using these as very high-level guidelines as they’re working on legislation this session,” even though they were “considered nonstarters” by many on both sides of the aisle, Peters said at the Practising Law Institute’s Immigration and Naturalization Institute.More

PLI Voted Best Continuing Legal Education Provider

Blog  Blog Post

Posted on: Mon, 05 Feb 2018 19:29:54 +0000

Practising Law Institute is delighted to announce that it has been voted the Best Continuing Legal Education (CLE) Provider by the readers of The National Law Journal in its Best Of 2018 Survey.More

Insights from the Director of the Division of Corporation Finance

Blog  Blog Post

Posted on: Fri, 09 Feb 2018 14:52:35 +0000

Bill Hinman, Director of the Securities and Exchange Commission’s Division of Corporation Finance delivered the keynote address at the Practising Law Institute’s annual Securities Regulation in Europe program. More

SEC offers amnesty program for undisclosed share-class conflicts

Blog  Blog Post

Posted on: Tue, 13 Feb 2018 15:37:51 +0000

"I think you have to look at the compensation plan you have, making sure that advisors are not incentivized to recommend certain share classes," Huang said at a recent conference hosted by the Practising Law Institute More


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