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Fundamentals of Investment Adviser 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 Investment Adviser Regulation 2018 has been approved for 7.5 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 blog edited by Clifford E. Kirsch. Why You Should Attend Over the past few years, the SEC has put the regulation ...

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 ...

Global Investment Funds 2018

Program  Program

Mark Your Calendar.  More Information to Come!

Securities Arbitration 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend This year’s Securities Arbitration program will feature FINRA Dispute Resolution leadership and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry.  Our faculty will provide practical tips for the use of experts and discovery in arbitration proceedings. They will explore the ethical challenges involved in technology and security in arbitration and mediations ...

Hedge and Private Fund Enforcement & Regulatory Developments 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Mark Your Calendar. More Information To Come! Program Level: Overview Intended Audience: Legal, finance and compliance professionals operating in the hedge fund and private equity industries should find this program informative. Prerequisites: A practice background and interest in current and anticipated enforcement, regulatory, legislative and compliance priorities impacting the hedge fund and private equity industry.  Advanced Preparation: ...

Securities Law and Practice 2018: How the SEC Works

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Why You Should Attend 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 ...

Advanced Venture Capital 2018

Program  ProgramWebcast  Webcast

Mark Your Calendar. More Information to Come!

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 ...

New Developments in Securitization 2018

Program  ProgramWebcast  WebcastGroupcast  Groupcast

Mark Your Calendar.  More Information to Come! Program Level: Overview Intended Audience: Attorneys at law firms, corporations, investment banks, investment funds, and other financial institutions dealing with asset-backed securities or structured products. Business professionals who need to understand the securitization process. Prerequisites: A background in financial, security, and derivative regulations as well as credit risk retention rules Advanced ...


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