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How to Prepare an Initial Public Offering 2015 -- Underwriting Agreements, Comfort Letters and Accounting Considerations

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

Recorded on: Apr. 13, 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. Underwriting Agreements, Comfort Letters and Accounting Considerations? [01:07:29] Robert A. Freedman, Charles S. Kim This ...

Securities Filings 2016: Practical Guidance in a Changing Environment -- Ethical Dilemmas in Preparation and Review of SEC Filings

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From the program: Securities Filings 2016: Practical Guidance in a Changing Environment

Recorded on: Sep. 9, 2016

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. Lecture Topics [00:59:47] Upon the successful completion of this program, the participant will be able to: Recognize ...

Ethical Dilemmas in Preparation and Review of SEC Filings

Transcripts  Transcripts    

Recorded on: Sep. 9, 2016

STEVEN V. BERNARD: I'm joined up here by Chuck Walker. Chuck is co-chair of Skadden's Litigation Group in Washington DC, has substantial experience representing individuals and corporations in investigations by the FCC, FINRA, Department of Justice, and state regulatory agencies. He joined Skadden after serving as Securities Commissioner for the State of Delaware from '96 to '99. Earlier in his career, he served as Deputy Attorney General for the ...

Hot Topics in Global Capital Markets

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Recorded on: Apr. 20, 2017

Taken from the Web Program Recorded April 19, 2017 in New YorkHot Topics in Global Capital Markets [00:57:35]• Disclosure developments • The latest developments with Rule 144A and Regulation S offerings • The impact of the JOBS Act • Global offering techniques Roderick Branch, Martin P. Dunn, Nicolas Grabar, Thomas W. YangThe purchase price of this Web Program segment includes the following article from ...

Hedge Fund Registration and Compliance

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Recorded on: Sep. 14, 2017

Taken from the Web Program Recorded September 13, 2017 in New YorkHedge Fund Registration and Compliance [01:31:33] Registration requirements for hedge fund managers Operational issues and compliance overview Compliance hot topics The purchase price of this Web Program segment includes the following article from the Course Handbook available online:Scott H. Moss and George Danenhauer, Lowenstein Sandler, Investment Management, SEC ...

Fundamentals of Swaps & Other Derivatives 2017

On-Demand Web Programs  On-Demand Web Programs    

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 ...

Securities Law and Practice 2017: How the SEC Works

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From the program: Securities Law and Practice 2017: How the SEC Works

Released on: Nov. 3, 2017

Securities lawyers need to have a firm grasp of not only the federal securities laws, but also how the SEC works to administer these laws. In this program, you will be given an introduction to the federal securities laws as well as the operating divisions at the SEC that administer the laws. You will be provided with what you need to know about how the SEC administers the securities laws — and the other agencies that the SEC interacts with on ...

The Special Role of the Securities Lawyer—Legal Ethics

Transcripts  Transcripts    

Recorded on: Oct. 30, 2017

CLIFFORD E. KIRSCH: Thanks. Thanks and welcome back. We've covered the securities laws-- looking-- taking a survey of the different securities laws. And we also covered what the SEC does-- how they go about fulfilling their mission. And on this, we want to bring it closer to you as a securities lawyer-- what does it mean in terms of the special considerations for lawyers who practice and appear before the SEC? The special role of securities lawyer-- ...

Inside the SEC – How the SEC Works

Transcripts  Transcripts    

Recorded on: Oct. 30, 2017

CLIFFORD E. KIRSCH: Alrighty. We are back. We covered the securities laws. And you got a little bit of the organization of the SEC. But there's a lot to do. So how does the SEC go about it? And taking a look inside the SEC, what are the different roles and responsibilities of the SEC's operating divisions? Who does what there? How does the chairman's office interact with the other commissioners versus the division? And we couldn't ask for a better ...

Laying the Groundwork – The Basics of the SEC and Securities Laws

Transcripts  Transcripts    

Recorded on: Oct. 30, 2017

HARRY PANGAS: Well, thank you very much, Cliff. I'm excited to be here and share with you a subject that I've spent my entire 20 year career. I was actually hesitant to push 20 years I've been practicing, because I'd rather be practicing for one year and be a lot younger. And that is, basically, dealing with the federal securities laws, as well as the regulatory agency that oversees those federal securities laws, the SEC. As Cliff mentioned, I worked ...

Advanced Swaps & Other Derivatives 2017

On-Demand Web Programs  On-Demand Web Programs    

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 ...

New Developments in Securitization 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: New Developments in Securitization 2017

Released on: Dec. 20, 2017

The securitization market continues to develop and innovate, while also being subject to new regulations. Traditional asset-backed securities (ABS) markets, including auto securitizations, commercial mortgage-backed securities (CMBS) and credit card receivables continue with steady issuance volumes. New markets, such as marketplace lending, continue to be developed. Other markets, such as private-label residential mortgage-backed securities (RMBS), ...

Understanding Financial Products 2018

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From the program: Understanding Financial Products 2018

Released on: Feb. 1, 2018

The explosion of new financial products over the past decade, the implosion of the credit markets and the resulting significant new regulatory requirements underline the importance of a basic understanding of financial products. While these instruments have been invaluable investment tools, with enormous potential for product manufacturers and investors, they also create potentially significant legal risks and challenges for their promoters, users, ...

Derivatives Products

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT S. RISOLEO: Hi. Welcome back, everyone in the room and on the web. This segment will be devoted to a discussion of derivatives-- further discussion of derivatives. I made some brief introductory remarks in the opening. Now we'll be spending the next 90 minutes going in more depth about how derivatives-- what they are, how they're put together, how they're regulated. And to do that for us, we have two panelists, both veterans. To my immediate ...

Laying the Foundation - Financial Product Fundamentals

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT S. RISOLEO: Now, though, I would like to begin, as I have for the past several years, with a general discussion that covers some concepts that are applicable to many or most, I should say, of the products that the panelists will be talking about today and tomorrow and also to give you all a bit of a framework for thinking about how new products might be developed, why they're developed, what some of the considerations are-- and not just strictly ...

Mutual Funds, Closed End Funds, and ETFs

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

MARGERY K. NEALE: Thank you, Willis. Good afternoon. Let me introduce my co-panelists first. To my immediate left is Laurie Blumenthal Kleiman. Laurie and I have worked together in the registered fund space for a long time. Laurie is the global co-leader of Sidley Austin's-- Sidley or Sidley Austin? Sidley? LAURIN BLUMENTHAL KLEIMAN: Either is fine. MARGERY K. NEALE: --Sidley's investment funds, advisors, and derivatives practice team. She represents ...

Litigation Issues in Financial Products – What Can Go Wrong?

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

SPEAKER 1: Welcome back everyone. I apologize for the slightly abbreviated break. To finish off the day, we're going to hear from a trio of litigators, which is a feature that we introduced to the program a number of years ago. We've also had accountants and tax lawyers on this program in some years, but we didn't go there this year. Returning this year is in the center for those here in the room is Hannah Berkowitz, who's a partner at Murphy and ...

Capital Markets Products

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT RISOLEO: This afternoon, we're going to talk about some capital markets-- more capital markets products, specifically structured notes and life settlements. Very different-- very different types of instruments. And then we're going to talk a little bit about what happens when issuers change their mind and want to buy back their products rather than sell them. So we will start with the discussion of structured notes or securitized derivatives, ...

Converts, SPACS, P/CAPS and more

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT RISOLEO: Welcome back, everyone for the next 90 minutes, we are going to talk about first, convertible notes, and related hedging transactions. And then turn to a discussion of some specialty structures that are in some ways, hybrids between capital markets, products, and collective investment arrangements. With me for this segment, Jim Barri to my immediate left. And Bethany Knight to Jim's left. Jim is one of the co-chairs of Goodwin Proctor's ...

Hedge Funds and Other Private Funds

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

MARGERY K. NEALE: Thank you very much, Willis. So welcome to hedge funds. To my immediate left is Scott Lederman. Scott is the President and Chief Executive Officer of the Grosvenor-- did I say that right-- Grosvenor Registered Multi-Strategy Fund's Complex, a member of the Public Market Seeding Investment Committee. And he's responsible for the legislative and regulatory affairs of the firm. In addition, he manages regulatory and administrative ...

Ethical Challenges

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

MARGERY NEALE: So welcome to Ethical Challenges. Our speaker is Charles Walker. Chuck is co-chair of Skadden's Litigation Group in the Washington, DC office. He has substantial experience representing individuals and corporations in investigations by the SEC, the Financial Industry Regulatory Authority, the US Department of Justice, and state regulatory agencies, and in conducting corporate internal investigations. Prior to joining Skadden-- or I ...

Securitized Products

Transcripts  Transcripts    

Recorded on: Jan. 26, 2018

ROBERT S. RISOLEO: Good morning to everyone here in the room and also on the webcast. This morning, continuing our survey of selected capital markets financial products, we will cover asset-backed products of various topics and securitization now. Then after the break this morning, consider convertible securities and then some other structures such as REITs and special purpose acquisition companies and business development companies. Joining me this ...

Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

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From the program: Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

Released on: Feb. 14, 2018

In addition to the credits listed to the right, this program also offers credit for CFP certification. Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants has been approved by the CFP Board for 4.50 CE credits. Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny —including an increasingly demanding examination focus from the SEC, FINRA ...

Overview of Advisory Programs

Transcripts  Transcripts    

Recorded on: Feb. 8, 2018

CLIFFORD KIRSCH: This next panel, as I mentioned in the introduction, is going to look at advisory programs. It's a very, very popular way in which broker-dealers offer advisory services or through advisory programs such as wrap account, mutual fund, asset allocation programs and the like. And we really wanted to leave this panel with you having a good understanding of what the programs are and how they operate, who the players are. So we're really ...

Broker-Dealer Retail Wealth Management: The Regulatory Framework

Transcripts  Transcripts    

Recorded on: Feb. 8, 2018

CLIFFORD KIRSCH: And for the first panel, a very big thanks for Cece and John Munch. They've been doing this panel for the last few years, and they always do a great job. Cece Mauvico is Senior Vice President and Associate General Counsel and Head of Regulatory Enforcement at LPL Financial. Prior to Cece being with LPL, she was in private practice. And prior to being in private practice, she was at FINRA. And one of the responsibilities I think you ...


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