Narrow Your Results
Narrow Your Results

Content

Programs & Webcasts

On-Demand

Publications

Faculty/Authors

News/Blogs

CLE and Other Credit Types

CLE  

Search Programs

CLE Jurisdictions

CPD  

CPE (NASBA)  

CFE-CPE (Fraud)  

Compliance (CCB CEU)  

Privacy CPE (IAPP)  

Search for programs by jurisdiction or CLE credit type:

 
 
  Not all credit types are available in all jurisdictions. If you choose multiple states and multiple credit types, you may end up with 0 results.  
 



 

   
      

Search for Programs with CPD Credits in:


   

   


List View Table View

Fundamentals of Broker-Dealer Regulation 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Fundamentals of Broker-Dealer Regulation 2018 has been approved for 8 CRCM, 8 CSOP, 8 CTFA credits. This statement should not be viewed as an endorsement of this program or its sponsor. Stay Ever Current: Subscribe today to , PLI’s new blog edited by Clifford E. Kirsch. Why You Should Attend Major changes in the broker-dealer ...

Corporate Political Activities 2018: Complying with Campaign Finance, Lobbying and Ethics Laws

Program  ProgramWebcast  Webcast

Please note: this program does not offer legal ethics credit. Why You Should Attend As we head into the 2018 election season, developments in federal and state lobbying, campaign finance and ethics rules are making corporate compliance more challenging than ever. Led by high-level officials from the Federal Election Commission, Congressional ethics committees, state ethics agencies, corporate compliance officers, and private practitioners, this program’s ...

Insider Trading Law 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend Over the last decade, insider trading has been a critical area of criminal and civil enforcement, and it will likely remain so for some time to come. Following the Second Circuit’s decision on tippee liability in Newman, and the Ninth Circuit’s decision on the same issue in Salman, the law’s contours were in flux. But then the Supreme Court agreed to hear the Salman appeal, and in December 2016, the Court issued ...

Global Investment Funds 2018

Program  Program

Why You Should Attend Asset managers today have a global presence and investment funds are built and designed with a view to cross-border distribution. As a result, legal and compliance professionals have an increasing need to identify and understand the legal framework applying to global investment funds.  This program will target those issues that are involved with offering cross-border services to non-US clients and foreign advisers offering ...

Understanding the Securities Laws 2018

Program  Program

Why You Should Attend Whether you are new to the field or seeking a quick refresher or an update, this is the securities law primer that you won’t want to miss. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners as well as SEC staff.  Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange ...

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend The SEC and other government agencies continue to focus enforcement and examination efforts on managers of private hedge funds and private equity funds.  This program will bring together top regulators, leading in-house legal and compliance professionals and expert outside counsel, to discuss the latest issues, trends and risks in regulatory compliance oversight.  The list of risk areas continues to grow, with examiners ...

Broker/Dealer Regulation and Enforcement 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Stay Ever Current: Subscribe today to  PLI’s blog edited by Clifford E. Kirsch. Why You Should Attend This program will address the many significant developments and trends in the regulation and oversight of broker-dealers.  As uncertainty remains around whether any major regulatory change will  be forthcoming,  the regulators are forging  ahead with their regulatory agendas and priorities.  The DOJ, SEC, CFTC, ...

Fundamentals of Swaps & Other Derivatives 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend 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 ...

Advanced Swaps & Other Derivatives 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend 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 ...

Coping with U.S. Export Controls and Sanctions 2018

Program  Program

Mark Your Calendar. More Information to Come!

The SEC Speaks in 2019

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

Corporate Governance - A Master Class 2019

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

Investment Management Institute 2019

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

Enforcement 2019: Perspectives from Government Agencies

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

Internal Investigations 2019

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

Fundamentals of Investment Adviser Regulation 2019

Program  ProgramWebcast  Webcast

Mark Your Calendar.  More Information to Come!


  • 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.