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Showing 1 - 25 of 59 Results

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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. Lecture Topics [00:59:47] Upon the successful completion of this program, the participant will be able to: Recognize the public policy framework underlying the gatekeeper concept. Recall the legal framework governing the rules of conduct for professionals appearing and practicing before the Securities and Exchange ...

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 ...

New Developments in Securitization 2016

On-Demand Web Programs  On-Demand Web Programs    

From the program: New Developments in Securitization 2016

Released on: Dec. 31, 2016

As the securitization world continues to emerge from the financial crisis, it faces a continuing flow of new regulation.   Some asset-backed securities (ABS) markets, such as auto securitizations, collateralized loan obligations (CLOs), and commercial mortgage-backed securities (CMBS) have reemerged with steady issuance volumes.  Other markets such as residential mortgage-backed securities (RMBS) are slower to reemerge.  Significant ...

Understanding Financial Products 2017

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From the program: Understanding Financial Products 2017

Released on: Feb. 13, 2017

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, in the view of many, invaluable investment tools, and have presented enormous potential for product manufacturers and investors, they also create potentially significant legal risks and challenges ...

Hedge Funds and Other Private Funds

Transcripts  Transcripts    

Recorded on: Jan. 31, 2017

ROBERT S. RISOLEO: OK. Thanks and welcome back, everyone. The next panel will talk about hedge funds and other private funds. We're very lucky to have two returning faculty members this year. To my immediate left is Scott Lederman, who's the managing director for legal and compliance at GCM Grosvenor, where you've been for quite a while now I think. Right? Before that, Scott was the general counsel and chief operating officer of SAC Capital Advisors ...

Capital Markets Products (continued)

Transcripts  Transcripts    

Recorded on: Jan. 31, 2017

ROBERT S. RISOLEO: OK. Thanks, Willis, and welcome back everyone for the last-- our final hour today. Joining me for this final segment are Hannah Berkowitz and Richard Kahn. Hannah is a lawyer at Murphy and McGonigle where she represents financial service companies, their officers, directors, and employees in various litigations and regulatory proceedings, and counsels as well as works on actual controversies. Hannah had a long career before that ...

Derivatives Products

Transcripts  Transcripts    

Recorded on: Jan. 31, 2017

ROBERT S. RISOLEO: OK. Welcome back, everyone. For the next 90 minutes, we will have a panel here to talk about derivative products with some new blood on the faculty. I'd like to introduce to my left Christine Ayotte-Brennan, who is vice president and associate general counsel in the Fixed Income Division of Fidelity Asset Management, where she provides legal support to the taxable bond funds, as well as global fixed income trading desk with a focus ...

Securitized Products

Transcripts  Transcripts    

Recorded on: Jan. 31, 2017

BOB RISOLEO: Good morning to those of you here in the room and joining us on the webcast. I'm Bob Risoleo, the chair of the program, and I'd like to welcome you to day two of our program. To start things off this morning, I'm very pleased to welcome back to the program Stuart Litwin. Stuart's a veteran of many years of this program, and we really benefit from his time and his experience. Stuart's a partner and co-head of the Securitization Structured ...

Mutual Funds, Closed End Funds, and ETFs

Transcripts  Transcripts    

Recorded on: Jan. 31, 2017

ROBERT S. RISOLEO: OK. Welcome back to those here in the room and on the web for the homestretch. This afternoon, we'll talk about mutual funds, hedge funds, closed end funds, ETFs, other private funds-- in other words, continuing from the discussion just before lunch about pooled investment vehicles in those cases with permanent capital features. Now we're moving into the world of vehicles where the capital is, for the most part, not so permanent. And ...

Capital Markets Products

Transcripts  Transcripts    

Recorded on: Jan. 31, 2017

ROBERT S. RISOLEO: OK. Good afternoon. Welcome back to everyone here in the room and to those of you joining on the webcast, as well. For the next hour and 45 minutes we're going to discuss three distinct topics, types of products. And here to join us on the panel we have Gary Brown returning. Thank you, Gary. Gary's going to talk about life settlements, which is really very different from the other products we've discussed so far. But before that, ...

Ethical Challenges

Transcripts  Transcripts    

Recorded on: Jan. 31, 2017

ROBERT S. RISOLEO: The final segment of the day now, and we have ethical considerations for securities lawyers. I'm pleased to welcome back to the program Chuck Walker, who is Co-Chair of the litigation group for Skadden in the Washington, DC office. Chuck has substantial experience representing individuals and corporations in investigations by the SEC, FINRA, the DOJ, and state regulators, as well as in conducting corporate internal investigations. In ...

Convertible Bonds & Derivative Hedges, REITS, SPACS, BDCS, Other forms

Transcripts  Transcripts    

Recorded on: Jan. 31, 2017

ROBERT S. RISOLEO: OK. Thanks, Willis, and welcome back, everyone. This panel is all new for the program and I'm very excited about it and looking forward to hearing what our panelists have to say. To my left is Jim Barri, who's one of the co-chairs of the Debt Capital Markets Group at Goodwin Proctor. Jim represents issuers, underwriters, investors, and sponsors in a wide variety of debt capital markets transactions, including high-yield bonds, convertible ...

Laying the Foundation - Financial Product Fundamentals

Transcripts  Transcripts    

Recorded on: Jan. 31, 2017

ROBERT RISOLEO: It's good to begin at the beginning as they say. So what we mean by a financial product, it's very broad. I suppose if you walked into the Consumer Financial Protection Bureau in Washington and asked that question, what is a financial product, you would hear a lot about different kinds of bank products that are offered to retail investors, retail customers. You might hear about different types of mortgages. You might hear about the ...

Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants

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From the program: Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants

Released on: Feb. 14, 2017

Broker-dealers that are dually registered as investment advisers are under intense regulatory scrutiny.  In this program, you will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current regulatory ...

Dual-Registrant Advice in the Retirement Marketplace

Transcripts  Transcripts    

Recorded on: Feb. 10, 2017

JASON ROBERTS: All right. While Jason is getting Mike, I'm going to just introduce him and say-- it's always a pleasure to introduce Jason. Jason Roberts is the CEO of Pension Resources Institute and a partner of the Retirement Law Group. Jason is the founder and CEO of the PRI, which is a firm that consults and provides compliance solutions and related services to retirement plan sponsors, service providers, and investment companies. And he's also ...

SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management

Transcripts  Transcripts    

Recorded on: Feb. 10, 2017

CLIFFORD KIRSCH: Great. Thanks. And thanks everyone for joining us again. So on this next panel, we're looking to discuss supervisory challenges. And what we did as a panel is just put our heads together in terms of what are the current issues that folks need to think about in this space. John and Cece are back with us. Thanks for re-joining us for this panel. I'm also very, very pleased to introduce Lisa and Joe. Lisa Francomano is executive director ...

Broker-Dealer Retail Wealth Management: The Regulatory Framework

Transcripts  Transcripts    

Recorded on: Feb. 10, 2017

CLIFFORD KIRSCH: And with that, let's get to our first panel. And as I had mentioned, what we're trying to do on this first panel is give you the regulatory framework, looking at sort of the terminology, lay of the land. And then we look at the Advisers Act and then broker dealers. And you're in great hands with the panel. To my left is Cece Mavico. Cece is an associate counsel at LPL. Prior to that, she was in private practice. And prior to that, ...

Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants

Transcripts  Transcripts    

Recorded on: Feb. 14, 2017

LAUREN NOCHTA: It is now my pleasure to introduce you to the chair of today's program, Cliff Kirsch. Cliff is a partner at Eversheds Sutherland in New York, where he focuses on Broker-Dealer and Adviser-Regulatory matters, including the design and distribution of various financial products. He is also the author and editor of two of the leading treatises in the Broker-Dealer and Adviser arena, Broker-Dealer Regulation, and Investment Adviser Regulation, ...

SEC Speaks in 2017 -- Trading and Markets

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From the program: SEC Speaks in 2017

Recorded on: Feb. 28, 2017

Taken from the Web Program SEC Speaks in 2017 recorded February, 2017 in Washington. Trading and Markets [01:04:53] Market structure Dodd-Frank implementation Clearance and settlement Risk analytics Broker-Dealer issues Speakers: Division of Trading and Markets Heather A. Seidel, Acting Director Gary Barnett, Deputy Director Michael A. Macchiaroli, Associate Director John C. Roeser, Associate Director Christian ...

ERISA Fiduciary Investment Basics 2017

On-Demand Web Programs  On-Demand Web Programs    

From the program: ERISA Fiduciary Investment Basics 2017

Released on: Mar. 24, 2017

This course provides an introduction to the basics of ERISA fiduciary law using a case study vehicle. In this year’s program, you will learn about the principal issues in ERISA’s regulation of plan investments through a case study of a hypothetical plan asset hedge fund exploring entry in the plan marketplace and a plan investor considering such an alternative investment. The program will also utilize a hypothetical fiduciary training ...

Investment Management Institute 2017

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From the program: Investment Management Institute 2017

Released on: Mar. 30, 2017

In this program, you will hear current and former regulators, industry experts and practitioners discuss significant business and legal developments in the investment management area over the past year and analyze important regulatory initiatives such as: The SEC’s regulatory agenda under a new administration New liquidity management and derivatives regulation A review of new SEC staff guidance Current exchange-traded ...

Global Capital Markets & the U.S. Securities Laws 2017

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From the program: Global Capital Markets & the U.S. Securities Laws 2017

Released on: Apr. 25, 2017

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 ...

Hot Topics in Global Capital Markets

Transcripts  Transcripts    

Recorded on: Apr. 20, 2017

PAUL DUDEK: OK, this is our hot topics panel of experienced capital markets international securities lawyers. So let's dive into it. And let me do some quick introductions. Next to David is Roderick Branch who's co-chair of the Chicago corporate department at Latham & Watkins. I have found in my short time there he represents a wide range of foreign companies that are involved in many transactions, Reg S, 144A. So he's certainly a particularly experienced ...

IFRS and Other Accounting Matters

Transcripts  Transcripts    

Recorded on: Apr. 20, 2017

PAUL DUDEK: OK. We're back. It's 11:30 here in New York, and we are going to talk about international financial reporting standards, IFRS, and other accounting matters. And, for that, we have two panelists. I can't think of anyone sort of bettered position to sort of talk about IFRS foreign private issuers and what's going on in terms of international accounting standards and developments there. First, next to David, we have Wayne Carnall who's done ...

Enforcement Developments in Global Capital Offerings

Transcripts  Transcripts    

Recorded on: Apr. 20, 2017

DAVID LYNN: Great, thank you all for joining us all day today. Now, our last panel today is Enforcement Developments in Global Capital Offerings, or, the Global Capital Environment. We're going to talk in some detail about some different concerns from the enforcement perspective. We have a fantastic panel here, assembled today. Joan McKown is a partner at Jones Day. Michael Mann is a partner at Richards Kibbe & Orbe. And Linda Chatman Thomsen, who's ...


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