Pennsylvania CLE - Securities Law Courses
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
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On-DemandCD/DVD/USB, Online, iOS/Android App
The Case Against Tipper X
lmagine the following: lt is the morning of a normal workday for you and millions of others who live in New York City. You go to the gym for a workout and run some errands before heading to the office. Unexpectedly, two FBI agents approach you on the sidewalk, flash their badges - in public view - and begin questioning you about activity at your job. The agents begin spitting out details about your personal life - they know where you were last weekend, they know private details about your fam... More Info
$751.5General Credits -
On-DemandCDs, DVDs, USB Stick
How to Handle a Securities Regulatory Investigation
How you handle a securities regulatory investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. It is also important to understand your ethical obligations before, during, and after an investigation, as representation lines may become blurred. During this CLE, our panel of experienced practitioners will discuss: the various stages of a securities regulatory investigation the initial contact demand for documents gathering... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Navigating the SEC and CFTC Whistleblowing Programs
This CLE course provides an overview of the CFTC, SEC, and IRS whistleblower programs, with a focus on the basics of eligibility, anonymity, and the whistleblowing process. The course will cover the analysis of potential whistleblower claims and the necessary steps for filing a whistleblower claim with each agency. Participants will learn about the ambiguities in the whistleblower awards process and gain insight into the factors that are considered when determining the amount of an awar... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored
This CLE course provides an in-depth overview of the US merger control process, antitrust agency priorities, forthcoming revisions to the US merger guidelines, and highlights of recent merger challenges. The course is designed to give attorneys a comprehensive understanding of the current state of antitrust regulations in the US and the role of antitrust agencies in reviewing and challenging mergers. The course will begin by exploring the fundamentals of US merger control process, inclu... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Skip Tracing for Lawyers
Attorneys in most areas of practice, especially trust and estates, personal injury, malpractice, debt collection and real estate law occasionally encounter situations requiring the location of missing people. This includes heirs, beneficiaries, witnesses, shareholders and debtors. In many instances, with the proper knowledge, resources and creativity, lawyers may be able to locate these absentees without having to retain the services of private investigators or skip tracers. This conti... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Form CRS: Practical Considerations for Attorneys
Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as conflicts of interest embedded in the firm's way of doing busi... More Info
$501General Credit -
On-DemandCDs, DVDs, USB Stick
Evaluating Corporate Governance and Ethics Issues: Incorporating a Business Perspective in the Litigation Process
Using actual case studies, our expert panel will explore the value of incorporating a business perspective into the litigation process. While the fundamental focus is the litigation and settlement processes, often times the business issues developed and set forth exert a powerful impact on the settlement achieved or trial outcome. The business issues discussed frequently involve governance and ethical considerations, which will be a major focus of our panelists’ discussions. Top... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws
This CLE program covers the basics of the intersection between “cryptocurrencies” and the federal securities and commodities laws. The title of this program comes from Samuel 2, 1:19. Why this title is apt should be obvious to anyone knowing of recent events in the world of crypto. The program discusses the allegations against Samuel Bankman-Fried, the former CEO of a group of companies known as “FTX,” by the U.S. Department of Justice, the Securities and Exchange Commission and the Com... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO
From due diligence to closing there are traps and pitfalls that can be anticipated. Attend this CLE course and learn from the lawyers and bankers what they confront and worry about during the marketing and distribution of initial public offerings. The panelists will provide real life examples of challenges that could have jeopardized the success of the IPO’s. Avoid the disasters and help assure your clients’ successful underwriting. More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Managing Your Client’s Series A Offering of Securities: A Step by Step Guide
A startup or early-stage company goes through a number of informal financing rounds involving company founders, friends and family members, and local angel investors. But if the company’s business plan is successful, it will be ready for its first round of venture capital, known as the “Series A Round” or “Series A Offering”. In this fast-paced, entertaining CLE presentation, you will learn the steps involving in managing a Series A offering of securities, including: reviewi... More Info
$751.5General Credits