Tag Archives: Financial Products

Financial Product Fundamentals: Law, Business, Compliance (Second Edition)

Financial Product Fundamentals: Law, Business, Compliance (Second Edition) serves as a comprehensive reference guide for attorneys, regulatory officers, compliance personnel, and any other professionals navigating securities regulation and compliance. This newly updated treatise contains expert analysis of a wide range of financial topics, including investment trusts, mutual funds, hedge funds, and variable insurance products.

Highlights of the recent update include:

Chapter 2, Limited Offerings and Private Placements, reviews the SEC’s issuance of a no-action letter in March 2025 and its effects on issuers’ Verification Requirements in relation to Rule 506(c) offerings. (Section 2:7.4)

Chapter 4, Securitization, is a new chapter covering securitization’s definition, functionality, and broader regulatory framework. This new chapter also covers tax and ERISA considerations, and treatment of security transactions under both bank capital rules and UCC Article 9.

Chapter 23, Collective Trust Funds, expands upon the earlier version’s discussion of the collective trust fund and its inclusion of the prudence standard and private equity investments. (Section 23:3.9)

Chapter 27, Interval Funds, includes an update on SEC Rule 18f-4 and a more expansive discussion regarding investments in other funds. (Section 27:2.3[D] and section 27:5.2)

Order a print copy today.

PLI Treatises Updated in November 2013

In November 2013, PLI updated the following Treatises:

Financial Product Fundamentals Release #2
Friedman on Leases Release #23
How to Handle an Appeal Release #14
How to Write a Patent Application Release #8
Immigration Fundamentals Release #37
IRS Practice Deskbook Release #7
Likelihood of Confusion in Trademark Law Release #1
Mutual Funds & Exchange Traded Fund Regulation Release #4
Patent Law: A Practitioners Guide Release #1
Pharmaceutical & Biotech Patent Law Release #6
Public Company Deskbook Release #8

If you are on standing order for any of these titles, the releases have already been shipped. If you would like to place an order, please email PLI Library Relations or call 877-900-5291

PLI Course Handbooks Published in January 2013

Listed below are the PLI Course Handbooks that were published in January 2013:

Commercial Law and Practice

Corporate Law and Practice

Litigation and Administrative Practice

Real Estate Law and Practice

Real Estate M&A and REIT Transactions

Tax Law and Estate Planning

Taxation of Financial Products and Transactions

If you have any questions or would like to order a title, please email the Library Relations Help Desk or call 877-900-5291.

New Treatise Editions Published in November 2012

In November 2012, PLI published new editions of the following Treatises:

Financial Product Fundamentals (2nd Edition)

Hedge Fund Regulation (2nd Edition)

Initial Public Offerings (2nd Edition)

Patent Law (4th Edition)

Securities Law & Practice Deskbook (6th Edition — this had been titled Soderquist on the Securities Laws)

Stocker & Rikoon on Drawing Wills & Trusts (13th Edition)

Variable Annuities and Variable Life Insurance (2nd Edition)

If you would like to order a copy of one or both of these treatises, please contact PLI Library Relations (libraryrelations@pli.edu; 877-900-5291).

July 2012 Treatise Updates

In July 2012, the following PLI treatises were updated:

Conducting Due Diligence in a Securities Offering Release #3
Financial Product Fundamentals Release # 17
Friedman on Leases Release # 19
International Corporate Practice Release #5
Variable Annuities & Variable Life Insurance Regulation Release # 10

If you are on standing order for any of the above titles, these releases have already been shipped. If you would like to place an order, please email libraryrelations@pli.edu.