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How to Prepare an Initial Public Offering 2015

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From the program: How to Prepare an Initial Public Offering 2015

Released on: Apr. 24, 2015

CPE credit (NASBA QAS Self-Study) is available by completing and passing the program’s CPE Review & Exam. While this program offers CPE (NASBA) credit, it has expired for CLE credit in many states. Please check the credit calculator to the right. No CLE certificate will be issued if credit has expired in your state. Upon the successful completion of this program, the participant will be able to: Recognize the legal restrictions on publicity ...

Introduction to the Law of Securities Offerings

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Recorded on: Mar. 6, 2017

Taken from the Web Program Securities Offerings 2017: A Public Offering: How it is Done recorded March, 2017 in New York. Introduction to the Law of Securities Offerings [00:58:40] Understand the legal framework for securities offerings under the Securities Act, including definitions and regulations of “offers” and “sales” of “securities” Understand the different types of issuers recognized under ...

Alternative Global Investment Vehicles and Derivatives Regulation

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Recorded on: Apr. 20, 2017

Taken from the Web Program Recorded April 19, 2017 in New YorkAlternative Global Investment Vehicles and Derivatives Regulation [00:58:47]• 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 Alison M. Fuller, Carol McGee, Barbara StettnerThe ...

Fundamentals of Broker-Dealer Regulation 2017

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From the program: Fundamentals of Broker-Dealer Regulation 2017

Released on: Jul. 25, 2017

Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Major changes in the broker-dealer industry and regulatory framework continue as a result of the financial services crisis, the resulting regulatory reform and a new Administration that is providing a fresh and comprehensive examination of financial services regulation.  At the same time, broker-dealers are subject to intense regulatory exam and ...

Understanding the Securities Laws 2017 -- Regulation of Proxy Solicitations

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From the program: Understanding the Securities Laws 2017

Recorded on: Jul. 18, 2017

Taken from the Web Program Understanding the Securities Laws 2017 recorded July, 2017 in New York. Regulation of Proxy Solicitations [01:00:05] Review of the regulatory scheme and SEC requirements for proxy solicitations Recent developments in shareholder proposals and how to handle them Proxy contests and shareholder activism Proxy statements as communications tools: an update on formatting and presentation Corporate ...

Securities Act Exemptions

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

N. ADELE HOGAN: -- partner at Morrison and Foerster. She is one of the premier securities lawyers in the country. She not only knows a lot about registrations but also derivatives and a lot about private placements. So she is a true expert, so we're thrilled to have you here today. ANNA T. PINEDO: Thank you, I'm going to move over to the podium. N. ADELE HOGAN: And we're going to talk about Securities Act exemptions. ANNA T. PINEDO: OK, so I'm ...

Broker-Dealer Exam Priorities and Hot Topics

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

CLIFFORD KIRSCH: First, we're going to be looking at regulatory priorities of the SEC or I guess more precisely what the industry hopes would be regulatory priorities of the SEC. And then we have an awful lot in terms of Fintech, Blockchain, just a lot of the terms of hot topics. And I'm very, very pleased to introduce to my left, the General Counsel of SIFMA. And for those of you who are brand new, you probably even still know SIFMA. But SIFMA is ...

Introduction to Securities Laws

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

ADELE HOGAN: So with that, Ken, I'm going to turn it over to you and we're delighted to have you. KENNETH JOSSELYN: Thank you, Adele. So as Adele said, I'm going to do the general overview of several of the federal securities laws, principally the '33 Act, the Securities Act of 1933, and aspects of the Securities Exchange Act of 1934. I could spend an entire day on that and nobody's expert in all those sections because it's kind of if you have a ...

An Overview of the Broker-Dealer Regulatory Framework

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

CLIFFORD E. KIRSCH: Welcome back and thanks, everyone. So again, where we are is we've covered who is a broker-dealer and how does a broker-dealer register and become a FINRA member. On this panel we're hoping to give you a better sense and get you closer to the pattern of regulation-- what the regulatory scheme looks like, and also very importantly, how the regulators interact. And when you're a broker-dealer and dealing with broker-dealer regulation, ...

Disgorgements by Corporate Executives Under the Federal Securities Laws

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

ADELE HOGAN: Good morning. Welcome back. We're delighted to be here for day two of understanding the securities laws. My name is Adele Hogan, and to my left we have starting off today Jennifer Nadborny. She is at Simpson Thatcher, and she's a member of the firm's public company advisory practice. She is the go-to expert on many highly technical areas. She's absolutely critical to the securities practice, the corporate governance practice and the M&A ...

Broker-Dealer Financial Responsibiity; Trading Issues

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

CLIFFORD KIRSCH: Thanks. Thanks, Lauren. And we are back. And this next panel is a combination of topics. We're going to look at broker-dealer financial responsibility and trading issues. So we're covering a lot in this panel. I'm very very pleased to welcome back to the faculty Mark Attar. Mark is to my left with Schiff Harden. Mark is an expert in the SEC's complex broker-dealer financial and responsibility rules. Before rejoining Schiff Harden, ...

The Broker-Dealer Customer Relationship

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

CLIFFORD E. KIRSCH: All right. Welcome back everyone. This panel, as I said at the beginning, is looking at the framework that applies to the broker dealer customer relationship. And what we do is trace the relationship from the initiation of the customer relationship, to the maintenance of the customer relationship, and the end of the customer relationship. And as part of the discussion we also discussed the broker dealer standard of care. What obligations, ...

Reporting Under the Exchange Act

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

N. ADELE HOGAN: We're going to turn, now, to reporting under the Exchange Act. So these are your 34 Act filings, which include your 8-Ks, 10-Ks, and 10-Qs. So we have two speakers here today. We have Alice Givens, and she is our in-house representative, so she's going to be talking a lot-- she's worked in New York in the, I think, fashion industry, and then in the south in another industry, in the food industry. So it's nice to have an-- over practically ...

Regulation of Proxy Solicitations

Transcripts  Transcripts    

Recorded on: Jul. 18, 2017

ADELE HOGAN: So we're going to turn immediately to our next panel, which is going to cover proxy statements and executive compensation. We have coming up first is Linda Rappoport. She's a partner at Shearman and Sterling. She is a true leader in this area, and has been a band one employee benefits and executive compensation recognized person in chambers since 2007. She has had a lot of leadership positions at her firm, which is Shearman and Sterling, ...

Hedge Fund Management 2017

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From the program: Hedge Fund Management 2017

Released on: Sep. 20, 2017

In this program, our expert faculty will focus on common structures for hedge funds, SEC priorities for and the regulatory environment surrounding hedge funds, and the day to day operational issues of running a hedge fund operation. The faculty will also explore strategies for addressing issues for when a hedge fund is in distress, issues relating to expansion into the registered fund business and issues and selling a portion of their business to ...

Hedge Fund Regulatory Update

Transcripts  Transcripts    

Recorded on: Sep. 14, 2017

LEOR LANDA: All right, we're back and right on time with our second panel, which is a regulatory update but kind of really brought about quite broadly. We're trying to cover a lot of different issues. Let me introduce the panelists here. To my immediate left is Todd Blanke, he's a partner at Harry Jho LLC. He specialized in trading products his whole career, prime brokerage, OTC credit, and equity derivative products. He was the lead attorney for ...

Hot Topics for Hedge Fund Managers

Transcripts  Transcripts    

Recorded on: Sep. 14, 2017

LEOR LANDA: Staying remarkably on time. I don't know. Do I get extra credit, Krista, for being-- KRISTA GUNDERSEN: Yes, [INAUDIBLE]. LEOR LANDA: --so perfectly on time? So staying on time-- now, we have two more panels. There is a break between this panel and the last one, so you all can rest easy. We have two more panels. We're shifting focus a little bit more now. It's broader topics, looking forward a little bit-- not so much on setting the stage ...

Hedge Fund Structures

Transcripts  Transcripts    

Recorded on: Sep. 14, 2017

LEOR LANDA: OK, let's get started again. Try to stay on time. Thanks everyone for coming back. We have this next panelist, again going back to basics, talking about hedge fund structures, what drives hedge fund structures, then also turning a little bit to common hedge fund terms and how they've been evolving and what revelation we're also expecting in hedge fund terms. We are very lucky with the panelists that we have. To my immediate left is Caroline ...

Fundamentals of Swaps & Other Derivatives 2017

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From the program: Fundamentals of Swaps & Other Derivatives 2017

Released on: Oct. 27, 2017

Over-the-counter (OTC) derivatives are key elements in many of our financial markets.  The Dodd-Frank Act and other regulations have changed and are continuing to change how these important instruments are regulated and transacted.  This program will introduce you to both the instruments and their current environment. A derivative is a financial instrument that allocates the risks and price exposures associated with a designated reference ...

Derivatives Documentation -- Overview of the ISDA Architecture; Masters, Schedules, Confirms, CSAs and collateralization; Execution and Account Agreements

Transcripts  Transcripts    

Recorded on: Oct. 24, 2017

JOSHUA D. COHN: Welcome back, everyone. Hope you had a nice lunch. We're going to talk now about derivatives documentation, and our presentation we'll cover both traditional OTC, and we'll also touch on clearing documentation. We have a great panel with us and starting immediately to my left we have Willa Cohen Bruckner, who's a partner in the financial services and products group in Alston & Bird's New York office, concentrating on derivatives structured ...

Advanced Swaps & Other Derivatives 2017

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From the program: Advanced Swaps & Other Derivatives 2017

Released on: Nov. 6, 2017

The Dodd-Frank Act established a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market participants who transact in these products.  That regulatory framework, split primarily between the SEC and CFTC, has been substantially implemented by the CFTC.  For their part, the SEC has made substantial progress and has most recently focused on finalizing the rules applicable to security-based swap ...

Swap Execution Methods, SEFs, Give-up and Reporting

Transcripts  Transcripts    

Recorded on: Oct. 26, 2017

JOSHUA COHN: Welcome back from lunch. We're going to get going again. I hope that those of you who ventured outside managed to stay dry. So we're now going to be talking about swap execution methods, SEFs, give up, and reporting. We have an excellent panel. Sitting to my left is Deborah Cook, who's managing director and Deputy General Counsel of the Depository Trust and clearing corporation-- DTCC. Her primary areas of responsibility includes supporting ...

Derivatives and Professional Responsibility

Transcripts  Transcripts    

Recorded on: Oct. 26, 2017

JOSHUA D. COHN: We're going to get going again. It's my pleasure to introduce Michael Sackheim, who's going to speak about derivatives and professional responsibility. And it's a good thing that Michael needs no introduction, because he's forbade me from giving one. Other than that he is a partner at Sidley and Austin and, I will add, has a long and illustrious experience in both derivatives and the topic of ethics and professional responsibility. ...

New Withholding Regulations on Cross-Border Equity Derivatives and Related Developments

Transcripts  Transcripts    

Recorded on: Oct. 26, 2017

JOSHUA COHN: Welcome back. We're going to get going again. Hope you enjoyed your lunch. We're now going to turn to new withholding regulations on cross-border equity derivatives and related developments. And we have with us Mark Leeds and Michael Mann. Mark is a tax partner with Mayer Brown. His professional practice focuses on the tax consequences of a variety of capital markets products, and strategies, including over-the-counter derivative transactions, ...

Tax Strategies for Corporate Acquisitions, Dispositions, Spin-Offs, Joint Ventures, Financings, Reorganizations & Restructurings 2017 -- Financial Instruments in the M&A Context

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From the program: Tax Strategies for Corporate Acquisitions, Dispositions, Spin-Offs, Joint Ventures, Financings, Reorganizations & Restructurings 2017

Recorded on: Oct. 27, 2017

Taken from the Web Program Tax Strategies for Corporate Acquisitions, Dispositions, Spin-Offs, Joint Ventures, Financings, Reorganizations & Restructurings 2017 recorded October 2017 in New York. Financial Instruments in the M&A Context [01:04:32] Use of financial products in M&A transactions, including discussion of 1234A Craig J. Gibian, Erika W. Nijenhuis, Helen M. Hubbard [Associate Chief Counsel (Financial Institutions & ...


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