Counsel to broker-dealers, investment advisers, U.S.-registered issuers and other participants in the securities markets must have a thorough and clear understanding of the SEC’s enforcement mechanisms. PLI’s new SEC Compliance and Enforcement Answer Book 2015 is a comprehensive and concise reference book organized in an easy-to-use Q&A format.
Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division.
Conducting an effective internal investigation – while the SEC is simultaneously investigating
Responding to SEC requests and subpoenas for documents, interviews, and testimony
Cooperating effectively with SEC staff
The Wells process, negotiating resolutions, and litigating with the SEC
The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation
Additionally, SEC Compliance and Enforcement Answer Book 2015answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.
We’ve updated and added to our Discover PLUS Research Topic Guides.
Discover PLUS Research Topic Guides are for those researchers interested in learning more about current legal issues from leading practitioners and experts. We have guides on the JOBS Act, patent trolls, the Supreme Court ruling against Aereo, the use of cell phone records as trial evidence, the tax implications of DOMA and cybersecurity.
See below or check out the Training Center for new and updated Discover PLUS Research Topic Guides.
Labor Management Law Answer Book 2016 is a concise overview of the controlling provisions of the NLRA and the other major federal labor legislation. Reflecting the in-depth knowledge and experience of the authors, it walks you through every requirement of federal law, including:
Each Friday, PLI offers everyone one week of free access to one web segment or One-Hour Audio Briefing from its catalog of more than 3,500 hours of on-demand offerings. These Free Friday segments are good for one full hour of CLE credit, and can be passed along to clients, colleagues, or anyone in need of training.
Free Fridays are brought to you by the PLI SmartBrief, a free daily e-newsletter that delivers all of the legal news you need (plus Free Fridays!) right to your desktop. Editors handpick key articles from hundreds of publications specifically with practicing attorneys in mind, summarizing the content and linking back to the original sources. Go here to sign up for PLI SmartBrief.
This Friday, PLI is offering a segment from the 17th Annual Real Estate Tax Forum. The segment, Current Developments, will provide an overview of the significant changes to tax law, recent legislation, case law, regulations and rulings over the past year and the impacts they have on your clients.
To view our Free Friday program, you will need to create a PLI account, if you don’t already have one. Programs will remain free only for one week; be sure to add to your library during this period. Click here and follow the on-screen instructions.
As a reminder, PLI Privileged Members have access to all of PLI’s live programs, Webcasts, and on-demand programs.
At PLI, we recognize that past practices greatly affect future dealings and decisions, and we’re working hard to upload our vast archived content to PLI Discover PLUS, our eBook library containing our authoritative Treatises, Answer Books, Course Handbooks, Program Transcripts, and Legal Forms. Since PLI has been publishing authoritative secondary sources on legal matters since 1933, we are in a unique position to be able to provide our subscribers with a treasure trove of expert opinions. By the end of 2014, we had released over ten years of Course Handbook content going back to 2004, and we are continuing to provide subscribers with more archived titles every week.
During a breakfast discussion on Discover PLUS historical content, we will offer a participant the chance to explore their very own history: attendees will be placed in a drawing for a chance to WIN a FREE World Explorer Ancestry.com package
We will also demonstrate the exciting future enhancements that are currently planned for Discover PLUS.
SUNDAY, JULY 19
7:30 – 8:30 AM
Ninety percent of the world’s goods are carried in ships, with maritime commerce affecting nearly every product bought or sold in the United States.
With the modernization of the shipping industry, as well as traditional bank finance, shipping companies have gained access to the public markets in the United States, and many are now publicly held here. Add to this the global economic crisis and downturn in shipping markets, and both publicly and privately held shipping companies have sought protection from creditors under the Bankruptcy Act. It is therefore not unusual for lawyers of all types to have exposure to maritime law concepts.