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It’s All Included for Privileged Members! For more information about unlimited access to the programs and Webcasts in this catalog and Practising Law Institute 1177 Avenue of the Americas the Privileged Membership Community, visit New York, NY 10036 www.pli.edu/PMCommunity p: 800.260.4754 e: [email protected] www.pli.edu/FDY9 ^Privileged Members receive a 20% discount on SEC Institute Workshops and other non-standard programs from the Interactive Learning Center. The Patent Office Exam Course is not included in Privileged Membership. TABLE OF CONTENTS

Accounting Advanced Swaps & Other Derivatives 2019...... 12 Life Sciences 2019...... 52 Patent 15th Annual SEC Reporting & FASB Forum for Advanced Venture Capital 2019...... 13 Nuts and Bolts of Medicare and Advanced Patent Licensing 2019...... 43 Mid-sized & Smaller Companies...... 23 Alternative Finance Summit 2019...... 4 Medicaid 2019...... 52 Advanced Patent Prosecution 35th Annual SEC Reporting & FASB Forum...... 23 Annual Disclosure Documents 2019...... 16 Workshop 2019...... 41 Accounting for Business Combinations Bank Fiduciary Activities and Collective Blockchain 2.0...... 37 Immigration Workshop 2019...... 19 Investment Funds 2019...... 14 Developments in Pharmaceutical and 52nd Annual Immigration & Naturalization Basics of Accounting for Lawyers 2019...... 18 Bridge-the-Gap ...... 55 Biotech Patent Law 2019...... 44 Institute...... 54 Form 10-K In-Depth Workshop 2019...... 21 Broker/Dealer Regulation and Intellectual Property Law Institute 2019...... 36 Defending Immigration Removal Form 20-F In-Depth Workshop 2019...... 23 Enforcement 2019...... 10 The Law and Business of Open Source Proceedings 2019...... 59 Implementing the FASB/IASB New Revenue Compliance & Ethics Essentials 2019...... 3 Software 2019...... 40 Representing Children in Immigration Recognition Standard Workshop 2019...... 20 Coping with U.S. Export Controls and Open Source Software 2019 ...... 37 Matters 2019...... 60 Implementing the FASB’s New Financial Sanctions 2019...... 17 Patent Fundamentals Bootcamp 2019...... 42 Instrument Standard on Credit Losses (CECL) Corporate Political Activities 2019...... 5 Patent Litigation 2019...... 43 Workshop 2019...... 21 NEW! Corporate Political Law Insurance Patent Office Exam Course 2019...... 41 Implementing the FASB’s New Hedge Compliance 2019...... 5 Hot Topics in Health Care Law 2019...... 53 Patenting the Blockchain 2019...... 44 Accounting Standard Workshop 2019...... 20 Corporate Whistleblowing in 2019...... 28 Nuts and Bolts of Medicare and Trade Secrets 2019...... 38 Implementing the FASB’s New Lease Ethics for Corporate Lawyers 2019...... 58 Medicaid 2019...... 52 USPTO Post-Grant Patent Trials 2019...... 42 Accounting Standard Workshop 2019...... 22 Financial Services RegTech and Regulatory MD&A In-Depth Workshop 2019...... 22 Compliance Forum 2019...... 16 Privacy/Cybersecurity Pocket MBA 2019...... 9 FinTech 2019...... 25 Intellectual Property and Technology Blockchain 2.0...... 37 SEC Reporting and Practice Skills Workshop Form 10-K In-Depth Workshop 2019...... 21 37th Annual Institute on Telecommunications Cybersecurity 2019...... 36 for Lawyers 2019...... 8 Form 20-F In-Depth Workshop 2019...... 23 Policy & Regulation...... 46 Fundamentals of Privacy Law 2019...... 45 SEC Reporting Skills Workshop for Financial NEW! Fund Finance 2019...... 17 Advanced Patent Licensing 2019...... 43 Global Data Protection Boot Camp 2019...... 45 Professionals 2019...... 19 Fundamentals of Broker-Dealer Advanced Patent Prosecution Hot Topics in Health Care Law 2019...... 53 Regulation 2019...... 4 Workshop 2019...... 41 Internet of Things 2019...... 35 Fundamentals of Investment Adviser Advertising Law Institute 2019...... 35 Antitrust The Law and Business of Open Source Regulation 2019...... 2 Blockchain 2.0...... 37 Antitrust Counseling & Compliance 2019...... 53 Software 2019...... 40 Fundamentals of Swaps & Other Bridge-the-Gap ...... 55 Life Sciences 2019...... 52 Derivatives 2019...... 12 Communications Law in the Digital Age 2019....46 Cybersecurity 2019...... 36 Online Platforms 2019...... 40 Banking Global Asset Management 2019...... 6 FinTech 2019...... 25 Open Source Software 2019 ...... 37 24th Annual Consumer Financial Services Government Contracts 2019...... 8 Fundamentals of Copyright Law in the Think Like a Lawyer, Talk Like a Geek 2019...... 38 Institute (2019)...... 51 Hedge Fund and Private Equity Enforcement & Data Era 2019...... 34 Bank Fiduciary Activities and Collective Regulatory Developments 2019...... 10 Fundamentals of Trademark Law in the Global Investment Funds 2019...... 14 Hedge Fund Management 2019...... 6 Pro Bono Marketplace 2019...... 34 Banking Law Institute 2019...... 26 Hot Issues in Executive Compensation 2019...... 7 19th Annual Municipal Law Institute...... 27 Intellectual Property Law Institute 2019...... 36 Ethics in Banking and Financial Services 2019...57 Hot Topics for In-House Counsel 2019...... 15 22nd Annual Children’s Law Institute...... 58 Internet of Things 2019...... 35 FinTech 2019...... 25 Hot Topics in Electronic Discovery 2019...... 49 36th Annual Section 1983 Civil Rights The Law and Business of Open Source Hedge Fund and Private Equity Enforcement & Hot Topics in Mergers & Acquisitions 2019...... 7 Litigation...... 50 Software 2019...... 40 Regulatory Developments 2019...... 10 Insider Trading Law 2019...... 50 Advocating for Veterans ...... 62 Life Sciences 2019...... 52 New Developments in Securitization 2019...... 26 Internet of Things 2019...... 35 The Art & Science of Interviewing Pro Bono Online Platforms 2019...... 40 MD&A In-Depth Workshop 2019...... 22 Clients 2019...... 62 Open Source Software 2019 ...... 37 New Developments in Securitization 2019...... 26 Bankruptcy Basics for Low-Income Bankruptcy and Restructuring Patenting the Blockchain 2019...... 44 Outsourcing 2019...... 9 Clients 2019...... 60 Bankruptcy Basics for Low-Income “Technotainment” 2019...... 39 Pocket MBA 2019...... 9 California Special Education Law 2019...... 61 Clients 2019...... 60 Think Like a Lawyer, Talk Like a Geek 2019...... 38 Preparing for Shareholder Activism ...... 11 Consumer Bankruptcy Cases 2019...... 61 Consumer Bankruptcy Cases 2019...... 61 Trade Secrets 2019...... 38 SEC Reporting and Practice Skills Workshop Defending Immigration Removal Nuts and Bolts of Corporate Bankruptcy 2019...27 Understanding the Intellectual Property for Lawyers 2019...... 8 Proceedings 2019...... 59 License 2019...... 39 SEC Reporting Skills Workshop for Financial Ethical Issues in California Pro Bono Live Webcasts Communications/Telecommunications Professionals 2019...... 19 Representation 2019...... 60 37th Annual Institute on Telecommunications Securities Arbitration 2019...... 48 International Ethical Issues in Pro Bono Representation and Groupcasts Policy & Regulation...... 46 Securities Law and Practice 2019...... 11 52nd Annual Immigration & Naturalization 2019...... 63 Communications Law in the Digital Age 2019....46 Securities Offerings 2019...... 13 Institute...... 54 Hot Topics in Health Care Law 2019...... 53 Seventeenth Annual Directors’ Institute on Basics of International Taxation 2019...... 24 Intimate Partner Violence and Technology Corporate Governance...... 15 International Tax Issues 2019...... 24 Abuse 2019...... 59 Compliance Storming the Gatekeepers...... 5 Limited Scope Representation 2019...... 63 15th Annual SEC Reporting & FASB Forum for Twentieth Annual Private Equity Forum...... 2 New York Housing Law for the Low-Income Mid-sized & Smaller Companies...... 23 Understanding the Securities Laws 2019...... 3 Law Practice Management Client 2019...... 60 35th Annual SEC Reporting & FASB Forum...... 23 White Collar Crime 2019...... 49 Women Lawyers in Leadership 2019...... 31 Nonprofit Organizations 2019...... 62 Interactive Learning 51st Annual Institute on Securities Regulation....14 Nuts and Bolts of Medicare and Advanced Compliance and Litigation Medicaid 2019...... 52 Ethics Workshop 2019...... 18 Employment and Labor Law 21st Annual Supreme Court Review...... 47 Prison Law 2019...... 63 Center Programs Advanced Swaps & Other Derivatives 2019...... 12 Bridge-the-Gap ...... 55 24th Annual Consumer Financial Services Reentry in California...... 59 Annual Disclosure Documents 2019...... 16 Corporate Whistleblowing in 2019...... 28 Institute (2019)...... 51 Representing Children in Immigration and Games Antitrust Counseling & Compliance 2019...... 53 Cutting-Edge Employment Law Issues 2019...... 28 36th Annual Section 1983 Civil Rights Matters 2019...... 60 Banking Law Institute 2019...... 26 Employment Law Institute 2019...... 29 Litigation...... 50 Representing the Pro Bono Client: Advocacy Broker/Dealer Regulation and NEW! Workplace Accommodation and Cutting-Edge Employment Law Issues 2019...... 28 Skills for Administrative Hearings 2019...... 61 Enforcement 2019...... 10 Leave Challenges 2019...... 28 Developments in Pharmaceutical and Representing the Pro Bono Client: Coping with U.S. Export Controls and Biotech Patent Law 2019...... 44 New York Public Assistance and Sanctions 2019...... 17 Environmental Electronic Discovery Nuts & Bolts 2019...... 48 Food Stamp Eligibility 2019...... 58 Corporate Political Activities 2019...... 5 Environmental Regulation 2019...... 54 Employment Law Institute 2019...... 29 Serving on a Nonprofit Board 2019...... 59 Form 10-K In-Depth Workshop 2019...... 21 Ethics and Conflicts of Interest in Form 20-F In-Depth Workshop 2019...... 23 Law Practice 2019...... 56 Fundamentals of Investment Adviser ERISA and Employee Benefits Professional Skills The Ethics of Electronic Information 2019...... 57 Regulation 2019...... 2 ERISA 2019...... 29 The Art & Science of Interviewing Pro Bono Hot Topics in Electronic Discovery 2019...... 49 Fundamentals of Swaps & Other Clients 2019...... 62 Insider Trading Law 2019...... 50 Derivatives 2019...... 12 Bridge-the-Gap I...... 55 Estates and Trusts Negotiation Workshop for Lawyers 2019...... 47 Government Contracts 2019...... 8 Bridge-the-Gap II ...... 56 50th Annual Estate Planning Institute ...... 55 New York Housing Law for the Low-Income Hedge Fund Management 2019...... 6 Intimate Partner Violence and Technology Client 2019...... 60 Hot Topics for In-House Counsel 2019...... 15 Abuse 2019...... 59 Patent Litigation 2019...... 43 Life Sciences 2019...... 52 Ethics/Professional Responsibility Negotiation Workshop for Lawyers 2019...... 47 Securities Arbitration 2019...... 48 MD&A In-Depth Workshop 2019...... 22 The Attorney-Client Privilege and Internal Representing the Pro Bono Client: Advocacy Trial by Jury 2019...... 51 New Developments in Securitization 2019...... 26 Investigations 2019...... 56 Skills for Administrative Hearings 2019...... 61 Trial Evidence...... 50 Outsourcing 2019...... 9 Bridge-the-Gap I...... 55 Trial by Jury 2019...... 51 USPTO Post-Grant Patent Trials 2019...... 42 SEC Reporting and Practice Skills Workshop Bridge-the-Gap II ...... 56 Women Lawyers in Leadership 2019...... 31 White Collar Crime 2019...... 49 for Lawyers 2019...... 8 Ethical Issues in California Pro Bono Writing for Litigators 2019...... 31 Writing for Litigators 2019...... 31 SEC Reporting Skills Workshop for Financial Representation 2019...... 60 Professionals 2019...... 19 Ethical Issues in Pro Bono Real Estate Staying Out of Trouble 2019...... 57 Representation 2019...... 63 MCLE Requirements 21st Annual Commercial Real Estate Institute....30 Storming the Gatekeepers...... 5 Ethics and Conflicts of Interest in Bridge-the-Gap ...... 55 Building Better Construction Contracts 2019.....30 Twentieth Annual Private Equity Forum...... 2 Law Practice 2019...... 56 Bridge-the-Gap I...... 55 Understanding the Securities Laws 2019...... 3 Ethics for Corporate Lawyers 2019...... 58 Bridge-the-Gap II ...... 56 Ethics in Banking and Financial Services 2019...57 Ohio New Lawyers Training 2019...... 56 Tax The Ethics of Electronic Information 2019...... 57 Basics of International Taxation 2019...... 24 Corporate and Securities Limited Scope Representation 2019...... 63 International Tax Issues 2019...... 24 15th Annual SEC Reporting & FASB Forum for PLI’s California MCLE Marathon 2019...... 58 Municipal Law Tax Strategies for Corporate Acquisitions, Mid-sized & Smaller Companies...... 23 Staying Out of Trouble 2019...... 57 19th Annual Municipal Law Institute...... 27 Dispositions, Spin-Offs, Joint Ventures, 24th Annual Consumer Financial Services Financings, Reorganizations & Institute (2019)...... 51 Restructurings 2019...... 25 35th Annual SEC Reporting & FASB Forum...... 23 Family Law Nonprofit 51st Annual Institute on Securities Regulation....14 22nd Annual Children’s Law Institute...... 58 Nonprofit Organizations 2019...... 62 Calendar of Events...... 32-33 Accounting for Business Combinations Serving on a Nonprofit Board 2019...... 59 General Information...... 64 Workshop 2019...... 19 Health Care and Life Sciences Index...... 65 Advanced Compliance and Ethics Hot Topics in Health Care Law 2019...... 53 Workshop 2019...... 18 Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 1 CORPORATE AND SECURITIES

Fundamentals of Investment Adviser Twentieth Annual Private Equity Forum † Regulation 2019 Chair Chair Leor Landa, Davis Polk & Wardwell LLP, New York City Clifford E. Kirsch, Eversheds Sutherland (US) LLP, New York City At this program, a distinguished panel of experts will discuss the basics of the private equity practice from fund formation to private equity M&A. Over the past few years, the SEC has put the regulation of investment Experts will guide you through an array of key topics, including a general advisers under the microscope, with advisers becoming a major focus of overview of the legal issues that need to be considered in marketing a the SEC’s 2019 enforcement and exam program. As part of this focus, the private equity fund on a global basis, current regulatory and compliance SEC has set high expectations for advisers in identifying and responding hot buttons, current issues in negotiating the terms of private equity funds to conflicts of interests and for providing robust and targeted client and private equity M&A transactions, and other current developments. disclosures. The program is designed for securities and corporate attorneys in private At the same time, the business landscape is dynamic with the emergence practice, in-house counsel, private equity or venture capital investors, of digital advice, “break-away” broker-dealers, and continued innovation principal investment professionals, investment bankers, accountants and regarding advisory programs. others involved in the fundraising and financing businesses. At this program, attendees will get a solid foundation in the regulatory regime applying to investment advisers. Attendees will learn how the Topics Include Investment Advisers Act of 1940 and state securities laws interact in • Recent regulatory developments affecting the marketing of private governing the advisory industry. In addition to providing a solid foundation, equity funds in the U.S. and Europe the program will provide extensive discussion and analysis regarding • Negotiating with investors: hot-button issues “hot topics” facing advisers today. • Current issues in private equity M&A A distinguished faculty will offer insights into recent developments, • Ethical issues and conflicts of interest including the SEC’s adviser exam program and recent enforcement cases. • Credit facilities for PE funds • GP arrangements Topics Include • Who are the regulators and how do they interact? Credit Available: CLE, CPD and CPE (NASBA) • What lessons can be learned from recent enforcement actions against advisers? Program Attorney: Stephanie N. Figueroa • What are the SEC’s 2019 exam priorities related to advisers? New York, Live Webcast* and Groupcast Locations, July 15-16 • How does an adviser register with the SEC? New York, #252338 • Atlanta, #267242 • Boston, #267240 • Cleveland, #267241 • What determines whether an adviser is SEC-registered or • Mechanicsburg, #267682 • Philadelphia, #267680 • Pittsburgh, #267681 state-registered? Program Fee: $1,895; Course Handbook: #252339, $220 • What does an adviser’s fiduciary duty entail? • What is the status of the SEC’s fiduciary duty proposed interpretive release? “Another triumph for PLI. Thank you and see you next year!” • How are conflicts of interest managed and disclosed? – Gerald Monroe, Calfee, Halter & Griswold LLP • What rules apply to adviser advertising? • What is the role of the adviser’s Chief Compliance Officer?

Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) Senior Program Attorney: Lauren E. Nochta New York, Live Webcast* & Groupcast Locations, July 8 New York, #251375 • Atlanta, #257440 • Cleveland, #257441 • Mechanicsburg, #258298 • New Brunswick, #258295 • Philadelphia, #258296 • Pittsburgh, #258297 Program Fee: $1,850; Course Handbook: #251376, $220

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Most of our programs are available as live Webcasts. Reserve your seat to watch PLI’s acclaimed faculty as they discuss the hottest legal trends, developments, case law and Footnote Key: regulations. . . . View all supporting material. . . . †Transitional CLE course: For newly admitted attorneys during the first two years And earn CLE and CPE credit. after admission to the Bar of the State of New York. *Webcast attendees: Please register online prior to the program date. Register today at www.pli.edu/FDY9 or Call 800.260.4754

2 | To Register/Order, Call 800.260.4754 | Table of Contents CORPORATE AND SECURITIES

Compliance & Ethics Essentials 2019 Understanding the Securities Laws 2019† Chair Co-Chairs Rebecca Walker, Kaplan & Walker LLP, Santa Monica, CA Gary M. Brown, Nelson Mullins Riley & Scarborough LLP, Nashville (Chicago only) Compliance and ethics programs are critically important to the success N. Adele Hogan, Baker Tilly Virchow Krause, LLP, New York City and growth of any organization. Effective programs allow organizations to (New York only) identify and mitigate legal risks, thereby preventing reputational damage Mark D. Wood, Katten Muchin Rosenman LLP, Chicago (Chicago only) or harm to the value of a company. An effective compliance and ethics program also allows any organization, large or small, to establish itself as Whether you are new to the field or seeking a quick refresher or an update, doing business with integrity, which enables organizations to command this is the securities law primer that you won’t want to miss. This program the respect of employees, customers, suppliers, and the government. will provide an overview and discussion of the basic aspects of the U.S. With an increasingly tough enforcement environment, and greater federal securities laws by leading in-house and law firm practitioners demands for transparency and accountability from a variety of as well as SEC staff. Emphasis will be placed on the interplay among stakeholders, an effective compliance program is no longer just the Securities Act of 1933, the Securities Exchange Act of 1934, the “nice-to-have.” It’s essential. A distinguished faculty — drawn from major Sarbanes-Oxley Act, the Dodd-Frank Act, the JOBS Act, the securities corporations, academia, law firms, and government agencies — will related provisions of the FAST Act, related SEC regulations, and significant provide you with the tools you need to create or enhance a program legislative and regulatory changes and proposals. that works to increase employee awareness and mitigate legal risk. Our expert faculty will show how securities lawyers can solve practical Compliance & Ethics Essentials 2019 is highly interactive and includes problems that arise in the contexts of public and private offerings, case studies, practical tools and real-time benchmarking with peers. If you SEC reporting, mergers and acquisitions, and other common corporate are involved in any aspect of corporate compliance and ethics, whether transactions. as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a Attorneys with the need to expand their knowledge and keep up with risk manager or outside counsel or consultant, then this event should be all aspects of securities laws, including senior in-house attorneys, on your annual calendar. attorneys with expertise in other fields, and all other attorneys interested in understanding securities laws and the latest best practices will benefit Topics Include from this program. This course is particularly beneficial for corporate • Recent developments, including guidance from the DOJ and associates in their early years of practice and can serve as part of a cutting-edge, practical tools comprehensive corporate training program. It also may be suitable for • Designing and conducting effective compliance risk assessments that other corporate, litigation and business law attorneys who handle matters enhance your program in which issues under the securities laws can arise. • Structuring your program for appropriate independence and authority Topics Include • The evolving role of the board • How the integrated disclosure system and the regulatory scheme work • Assessing your program and performing effective compliance audits as a whole, including annual reporting obligations and common triggers • Investigating and managing allegations of wrongdoing of the “duty to disclose” • Best practices in compliance communications, training and tools • Issues related to registering securities under the Securities Act, • Mitigating the risks created by suppliers, agents and other third parties including the advantages and disadvantages of “going public” • Global compliance expectations and best practices • Exchange Act reporting on Forms 10-K, 10-Q and 8-K • Ethics for compliance professionals • Issues relating to proxy solicitation in an age of corporate activism, including key takeaways from initial pay ratio disclosures Special Feature • Securities law issues confronting corporate executives and officers • Earn one full hour of Ethics credit! • Securities offerings that are exempt from Securities Act registration, Credit Available: CLE, CPD, CPE (NASBA), IAPP (Privacy) CPE, including private placements, Regulation A+ offerings and crowdfunding CFE (Fraud), CCB (Compliance) CEUs and HRCI/SHRM • Liabilities that exist for securities law violations, including insider trading • Securities law issues triggered by M&A and other strategic transactions Program Attorney: Victoria Kennedy Special Features New York, Live Webcast* & Groupcast Locations, July 18-19 • All-new panel: “What’s New in Securities Law: Traps for the Unwary” New York, #251750 • Atlanta, #266943 • Cleveland, #266944 • Columbus, • Earn up to two full hours of Ethics credit #266942 • Nashville, #266923 • New Brunswick, #266874 • NY transitional attorneys: earn Professional Skills credit Program Fee: $1,895; Course Handbook: #251751, $220 Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) “Seasoned practitioners with lots of practical insight — Program Attorney: Stephanie N. Figueroa much appreciated.” New York, Live Webcast* & Groupcast Locations, July 18-19 – Bryan Anderson, Florida Power & Light Co Chicago, September 18-19 “Informative, relevant, current, and readily applicable. Thank you.” New York, #253590 • Atlanta, #267279 • Boston, #267278 • Mechanicsburg, – Andreas Danckers, Ulrichson LLC #267692 • Philadelphia, #267690 • Pittsburgh, #267691 • Chicago, #253591 Program Fee: $1,895; Course Handbook: #253592, $220

“Great seminar!” – Kisha Parker, Private National Mortgage Acceptance Company, LLC (PennyMac)

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 3 CORPORATE AND SECURITIES

Fundamentals of Broker-Dealer Regulation Alternative Finance Summit 2019: 2019† Marketplace Lending, Cryptocurrency and † Chair Crowdfunding Clifford E. Kirsch, Eversheds Sutherland (US) LLP, New York City Chair Major changes in the broker-dealer industry and regulatory framework are Brian S. Korn, Manatt, Phelps & Phillips, LLP, New York City anticipated as the SEC continues to advance its Regulation Best Interest. This new rule would impose an enhanced standard of care on broker- Alternative finance continues to drive significant engagement with the dealer retail activities. At the same time, FINRA and the state regulators investment community. But it also raises many more questions than continue to scrutinize various brokerage practices via their respective answers, such as: examination programs. This program will provide attendees with a solid • What does the future hold for marketplace lending, cryptocurrency foundation in the regulatory regime applying to broker-dealers, including and crowdfunding? Will it be a boom or bust? what to expect next regarding broker-dealer regulation. Attendees will • Are security token offerings likely to take off? learn how the Securities Exchange Act of 1934, FINRA rules and state • Will blockchain technology and distributed ledger technology supplant securities laws interact in governing the brokerage industry. traditional centralized broker-dealers and clearing with respect to tokens Attendees will also learn about recent exam and regulatory enforcement and cryptocurrencies? activity by the SEC, FINRA, and the states, and about how broker-dealers • Will marketplace lending further expand or consolidate? Are more are responding to these developments and the challenges ahead for platforms coming? the industry. • Will marketplace lending finally have a principal regulator or will it A distinguished faculty will offer insights into recent rulemaking that is continue to have its heels nipped by a patchwork of state and federal having a far-reaching impact on the day-to-day operations of firms. rulemakers and the courts? • Is the CFPB fulfilling its mandate of consumer financial protection, Topics Include or do the payday lending and banking industries wield too much power? • Who are the regulators and how do they interact? • Will Regulation A+ mature into the capital-raising potential • What is entailed with respect to the duty to supervise? many predicted? • What steps need to be taken in response to the SEC’s and FINRA’s • Will Regulation CF crowdfunding become the preferred method of focus on conflicts? capital-raising for the sub-$1 million dollar category? • What is “suitability”? • What is the proper role of governments — both state and federal — • What records is a broker-dealer required to maintain? and the courts in keeping the industry honest? • What are the prospects of the SEC’s proposed Regulation Best Interest Join us for this one-of-a-kind event to hear from the leading industry becoming a final rule? lawyers, dealmakers and decision-makers on where we are now and • What is the role of the Chief Compliance Officer? where we may be headed. • What are the SEC’s and FINRA’s 2019 exam priorities? Topics Include Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) • Update from Washington and the state houses on developments in Senior Program Attorney: Lauren E. Nochta regulating cryptocurrency, crowdfunding and alternative finance • The latest on tokens — why you and your clients need to be careful New York, Live Webcast* & Groupcast Locations, July 22 • Impact of the JOBS act six years later on crowdfunding and New York, #247657 • Atlanta, #267132 • Boston, #267133 • Mechanicsburg, capital-raising #268508 • New Brunswick, #267134 • Philadelphia, #268506 • Pittsburgh, • How to execute a proper regulation A+ and crowdfunding transaction #268507 • OCC special purpose FinTech charters and other innovative initiatives Program Fee: $1,850; Course Handbook: #247658, $220 • What is the latest on efforts to “fix” or contain the Madden v. Midland funding decision “I really enjoyed this CLE. Each presenter was fantastic. • Fund structures and issues with investing in alternative finance This was the best CLE that I have ever participated in. • Spotlight on real estate marketplace lending, crowdfunding and There was so much great information shared that I intend on alternative home finance listening to certain sections again.” Credit Available: CLE, CPD and CPE (NASBA) – Donaldine Temple, The Depository Trust and Clearing Corporation Program Attorney: Jesse Sands New York, Live Webcast* & Groupcast Locations, August 5 New York, #248421 • Atlanta, #267086 • Boston, #267088 • Cleveland, #267087 Program Fee: $1,850; Course Handbook: #248422, $110

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Storming the Gatekeepers: When Compliance Corporate Political Activities 2019: Officers and In-House Lawyers Are at Risk 2019 Complying with Campaign Finance, Lobbying Chair and Ethics Laws Richard J. Morvillo, Orrick, Herrington & Sutcliffe LLP, Washington, DC Co-Chairs In recent years, the government has sharply focused on compliance Kenneth A. Gross, Skadden, Arps, Slate, Meagher & Flom LLP, professionals and in-house counsel, the gatekeepers who are tasked with Washington, DC identifying corporate misconduct. If you are a gatekeeper or represent Jason D. Kaune, Nielsen Merksamer Parrinello Gross & Leoni LLP, one, it is time to hear from experienced in-house and outside counsel, San Francisco Bay Area, CA Chief Compliance Officers and government officials as they discuss a Jan Witold Baran, Wiley Rein LLP, Washington, DC variety of topics stemming from the government’s scrutiny of the function, Developments in federal and state lobbying, campaign finance, and ethics responsibilities and conduct of gatekeepers. rules create significant challenges in corporate compliance challenges, Topics Include and if you practice in this field, it is critical to have the most up-to-date • Inherent risks and responsibilities of gatekeepers information at your fingertips. This comprehensive program, led by an expert faculty of senior officials from the Federal Election Commission, • Limitations on privilege in the area of compliance the Department of Justice, congressional ethics committees, state ethics • Defending a gatekeeper under investigation agencies, corporate compliance officers, and private practitioners, will • The government’s perspective on gatekeepers’ duties walk you through the latest issues. From federal and state lobbying • Lessons learned from recent investigations and pay-to-play laws to practical strategies for developing and running an effective compliance program, the program is a must-attend for Credit Available: CLE, CPD, CPE (NASBA), CFE (Fraud) and attorneys and others representing political contributors, PACs, lobbyists, CCB (Compliance) CEUs corporations, trade and membership associations, unions, and other Program Attorney: Victoria Kennedy political interest groups and activists. New York, Live Webcast* & Groupcast Locations, September 4 Topics Include New York, #253211 • Atlanta, #266948 • Boston, #266926 • Cleveland, #266949 • Developments in election law • Columbus, #266947 • Indianapolis, #267844 • Mechanicsburg, #267843 • Creating effective compliance programs • Nashville, #266927 • New Brunswick, #266925 • Philadelphia, #267841 • FEC and state ethics agency updates • Pittsburgh, #267842 • Recent case law impacting political activities Program Fee: $1,850; Course Handbook: #253212, $110 • Civil and criminal enforcement updates • Pay-to-play, lobbying • Tax-exempt organizations and independent expenditures • FARA developments • Procurement lobbying and foreign lobbying Special Features • Featured Speaker and Networking Luncheon • Breakout sessions for specialized topics • Register and receive complimentary access to a preparatory One-Hour Audio Briefing on the Basics of the Federal Election Campaign Act, which will be presented by Co-Chairs Kenneth A. Gross, Jason Kaune, and Jan Witold Baran and be held on August 1, 2019.

Credit Available: CLE, CPD, CPE (NASBA), CFE (Fraud) and CCB (Compliance) CEUs Senior Program Attorney: Seema Lal Meehan Washington, DC, September 5-6 Washington, DC, #248644 Program Fee: $2,145; Course Handbook: #248646, $220 SAVE THE DATE FOR THIS NEW PROGRAM! Corporate Political Law Compliance 2019

San Francisco & Live Webcast,* October 3 Join election lawyers, regulators, and in-house counsel at this program for a focused look at campaign finance, lobby disclosure, and government ethics laws, and learn best practices for your organization. Visit www.pli.edu for additional information.

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 5 CORPORATE AND SECURITIES

Global Asset Management 2019† Hedge Fund Management 2019† Chair Chair Clifford E. Kirsch, Eversheds Sutherland (US) LLP, New York City Leor Landa, Davis Polk & Wardwell LLP, New York City Asset managers today have a global presence and investment funds are At this program, our expert faculty will focus on common structures for built and designed with a view to cross-border distribution. As a result, hedge funds, SEC priorities, the regulatory environment surrounding legal and compliance professionals have an increasing need to identify hedge funds, and the day-to-day operational issues of running hedge and understand the legal framework applying to global investment funds. funds. There will also be in-depth analysis of data privacy issues and This program will target those issues that are involved with offering the evolving cryptocurrency space. Attorneys, hedge fund counsel, cross-border services to non-U.S. clients and foreign advisers offering compliance and other professionals currently working in or interested in services in the United States. It will also discuss issues related to global the hedge fund industry will benefit from this program. custodians who service these asset managers. Topics Include Topics Include • How are hedge funds typically formed and structured? • European regulatory issues, including MiFID and AIFM • What are the requirements for hedge funds with respect • FinTech and global investment funds to cybersecurity? • Marketing shares of U.S. funds abroad • What does the SEC focus on when it inspects a hedge fund complex? • Challenges facing global custodians • What are the registration and disclosure requirements that affect • Alternative funds hedge fund managers? • The impact regarding the growing trend of activist investing • What happens when a hedge fund manager suspends redemptions or liquidates a fund? Credit Available: CLE, CPD and CPE (NASBA) • How can hedge funds improve their prime brokerage relationships? Senior Program Attorney: Lauren E. Nochta • What effect will SIFI designation have on a hedge fund manager who is designated as a SIFI? New York, Live Webcast* and Groupcast Locations, September 9, • What effect will it have on non-SIFIs? 1:30 – 5:00 p.m. ET • What are the issues when buying or selling a hedge fund manager? New York, #247687 • Atlanta, #267182 • Mechanicsburg, #268511 • Nashville, • What are the issues when expanding into U.S.-registered #267183 • Philadelphia, #268509 • Pittsburgh, #268510 hedge fund business? Program Fee: $895; Course Handbook: #247688, $60 Credit Available: CLE, CPD and CPE (NASBA) Program Attorney: Stephanie N. Figueroa New York, Live Webcast* & Groupcast Locations, September 10 New York, #250323 • Atlanta, #267301 • Mechanicsburg, #267697 • Philadelphia, #267695 • Pittsburgh, #267696 Program Fee: $1,850; Course Handbook: #250328, $220

INTERACTIVE LEARNING CENTER Sharpen your skills while having fun! Learn by doing with real-world scenarios that will engage you and sharpen your skills in a practical way. Award-winning ILC programs incorporate the latest in interactive technology and research-based instructional design. These innovative programs and games can be taken anytime and anywhere that is convenient for you.

Programs available at www.pli.edu/programs/interactivelearningcenter

6 | To Register/Order, Call 800.260.4754 | Table of Contents CORPORATE AND SECURITIES

Hot Issues in Executive Compensation 2019† Hot Topics in Mergers & Acquisitions 2019 Co-Chairs Co-Chairs Jeannemarie O’Brien, Wachtell, Lipton, Rosen & Katz, New York City R. Scott Falk, Kirkland & Ellis LLP, Chicago (Chicago only) Regina Olshan, Skadden, Arps, Slate, Meagher & Flom LLP, Sarkis Jebejian, Kirkland & Ellis, New York City (Chicago and New York) New York City Eric L. Schiele, Kirkland & Ellis, New York City (New York only) As the economy shifts and the legislature, SEC, and shareholders respond, Last year marked the third busiest in history for M&A activity, behind only the design, implementation and disclosure of executive compensation 2007 and 2015. We witnessed the return of the mega-deal, with deals undergoes continual change. At this program, experts in the area — from over $5 billion in purchase price seeing a 51% increase over 2017. But major corporations, the SEC, the IRS and shareholder activist groups, 2019 has ushered in a new set of uncertainties that may stall M&A activity, as well as from leading law and consulting firms — will lead you through from the lingering effects of the government shutdown, to anxiety over the the emerging best practices and the current reactions to the changing Brexit rollout, to chaos in Washington, to possible additional interest rate landscape. hikes, to predictions of recession by late 2019. In this quickly evolving and uncertain environment, it is critical for dealmakers and their counsel to stay Topics Include abreast of the latest trends and forecasts. What is driving the continued • Pay trends activity levels, and are those underlying factors sustainable? How will • Hot topics in M&A regulatory developments and Fed activity affect acquisition financing and • Recent developments in employment — gender gap disclosures, equity values? How will these developments influence the strategies of best practices and litigation risk activists and how should companies be preparing? Join our expert faculty • New developments in corporate governance and SEC news of lawyers, general counsels, regulators and investment bankers as we explore the fascinating state of M&A and the trends you need to be aware • Impact of tax reform on pay practices and other tax developments of for the year ahead. • Ethical considerations for counseling boards, compensation committees, companies and executives Topics Include • Recent developments in executive and director compensation • New developments in Delaware law Credit Available: CLE, CPD, CPE (NASBA) and HRCI/SHRM • Regulatory enforcement in the Trump administration • Novel issues in private and hostile M&A Program Attorney: Jesse Sands • Foreign investment, trade and technology New York, Live Webcast* & Groupcast Locations, September 11 • Ethical challenges in corporate transactions New York, #248439 • Atlanta, #266951 • Boston, #266940 • Cleveland, #266952 Credit Available: CLE, CPD and CPE (NASBA) • Columbus, #266950 Senior Program Attorney: Grace E. O’Hanlon Program Fee: $1,850; Course Handbook: #24844, $220 Chicago, September 11 New York, Live Webcast* & Groupcast Locations, September 27 “Always an excellent CLE program. Chicago, #248445 • New York, #248446 • Atlanta, #267114 • Boston, #267116 The faculty members are top-notch!” • Cleveland, #267113 • Nashville, #267115 – Erek Sharp, Murtha Cullina LLP Program Fee: $1,850; Course Handbook: #248447, $220

“Program was very informative and materials quite helpful. Would definitely attend again.” – Derek Spychalski, Zebra Technologies

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 7 CORPORATE AND SECURITIES

Limited Space. Register Early! Government Contracts 2019† SEC Reporting and Practice Skills Co-Chairs Workshop for Lawyers 2019† E. Sanderson Hoe, Covington & Burling LLP, Washington, DC Marcia G. Madsen, Mayer Brown LLP, Washington, DC Workshop Leaders The federal government market is increasingly complex and compliance Gary M. Brown, Partner, Nelson Mullins Riley & Scarborough LLP driven. Budget pressure, inappropriate use of fixed-price contracts, George M. Wilson, Director, SEC Institute, a Division of PLI increasing compliance and transparency requirements, the initiation of Many lawyers learn SEC reporting through on-the-job training that a “super” oversight board, intensified focus on contract and business often is piecemeal at best. This Workshop is intended to replace that systems auditing, increased emphasis on suspension and debarment, and ad-hoc learning process by helping participants develop an in-depth growing use of the False Claims Act to enforce contract terms all make understanding of the reporting requirements of the U.S. federal securities participation in this market a daunting endeavor — for both experienced laws. Workshop participants will build the knowledge and experience and new entrants alike. This program will bring leading government necessary to understand, prepare and review the SEC’s periodic and contracts law practitioners and policy makers together for an in-depth current reports. Participants will also learn important rules and techniques discussion of important business considerations involved in participating for communicating with the public, the importance of “insider trading” in this market, recent trends, and best practices for companies operating policies, the art of drafting disclosure documents and press releases in the federal government space. This program is designed for both with a view toward limiting potential liability, and how to comply with the companies and government agencies, and their counsel who are SEC’s proxy requirements. This Workshop is geared to beginners or as a endeavoring to understand the rapidly changing marketplace. refresher for experienced SEC reporting professionals. Attorneys, general counsel, in-house counsel and corporate legal staff, investor relations Topics Include professionals, and others involved in the preparation of SEC filings will • Insights regarding new and pending policy, and regulatory changes and take away valuable practical information and skills necessary to satisfy risks that contractors face the current SEC reporting requirements. For accountants and auditors, • Overview of dispute resolution with the federal government and what we recommend taking our SEC Reporting Skills Workshop for Financial the judiciary sees as important recent decisions that the government Professionals for a more in-depth analysis of financial reporting issues in contracting community should be following SEC reporting. • Transparency and reporting requirements — how much of your business information will be public and how will the new oversight board affect Topics Include your business? • Key disclosures and issues in Forms 10-K, 10-Q and 8-K, • Contract compliance and the False Claims Act — implications for and the proxy statement contract management • How to communicate with the public within the constraints of the SEC’s • An understanding of government auditing of contractors following rules and guidance, including Regulation FD and Reg G (“non-GAAP recent congressional scrutiny; the prospect for a government-wide, financial measures”) federal auditing agency; and the impact of the new business • How to protect the company and executives from charges of insider systems rule trading, including through the use of insider trading policies and Rule 10b5-1 plans Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) • How to ensure compliance by executives with Section 16 reporting Senior Program Attorney: Seema Lal Meehan • How to write an effective MD&A • Latest developments in SEC reporting obligations, including expansion Washington, DC, Mayer Brown, September 19 of the smaller reporting company system Washington, DC, #253520 • How to deal with the SEC staff and understand their “hot buttons” Program Fee: $1,850; Course Handbook: #253521, $220 Special Feature • Earn one hour of Ethics credit Prerequisites: We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations S-K and S-X. Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) Senior Program Attorney: Robin D. Goldstein Dallas, September 12-13 Chicago, October 24-25 San Francisco, November 4-5 Atlanta, November 19-20 Dallas, #250395 • Chicago, #250396 • San Francisco, #250397 • Atlanta, #250398 Program Fee: $1,495

SEC Institute is not affiliated with the U.S. Securities and Exchange Commission. Note: Privileged Members will receive a 20% discount.

8 | To Register/Order, Call 800.260.4754 | Table of Contents CORPORATE AND SECURITIES

Outsourcing 2019: ITO, BPO and Cloud† Pocket MBA 2019: Finance for Lawyers and Co-Chairs Other Professionals John F. Delaney, Perkins Coie, LLP, New York City (New York only) Co-Chairs George Kimball, Wiggin and Dana LLP, Ann Arbor, MI (Chicago only) , Grant Thornton LLP, New York City (New York only) Michael S. Mensik, Baker & McKenzie LLP, Chicago (Chicago only) Charles K. Blank , Grant Thornton LLP, Chicago (Chicago only) Brad L. Peterson, Mayer Brown LLP, Chicago (Chicago only) Gene Cahill , Bates Group LLC, San Francisco (San Francisco only) William A. Tanenbaum, Polsinelli, P.C., New York City (New York only) A. Christine Davis Rajay Desai, Deloitte & Touche LLP, San Francisco (San Francisco only) Information technology (ITO) and business process outsourcing (BPO) Anna T. Pinedo, Mayer Brown LLP, New York City (New York only) have quickly matured into mainstay practices for global companies. As Elke Rehbock, Dentons US LLP, Chicago (Chicago only) more companies offer services to meet BPO and cloud needs, clients Frank J. Weigand, HSBC Securities (USA) Inc., HSBC Global Markets benefit from the market competition, but new legal challenges emerge. Legal (Americas), New York City (New York only) New entrants into the marketplace, broader adoption of these services, This program is specifically designed for non-accountant, in-house and increasingly stringent regulation and growing risks, including and law firm attorneys and other professionals who work with financial cybersecurity and privacy, add new pressures for both suppliers and information. It will enhance understanding of business strategies, clients. Outsourcing 2019 will build on its legacy as a cutting-edge accounting fundamentals and vocabulary used by management, investors, program covering the major legal and compliance challenges that auditors and bankers. Practical advice and application of information attorneys face. Hear from some of the nation’s leading lawyers as they to actual situations and financial reports will provide participants with discuss the latest developments and trends. Lawyers and compliance opportunities to immediately implement growth and broaden capabilities. professionals whose practices involve outsourcing should find this The faculty for this program is unusually diverse, including top partners program informative. from elite accounting firms and law firms, private equity investors, bankers, consultants and academics. Topics Include • Outsourcing process and master services agreements This program is specifically designed for non-accountant, in-house and law firm attorneys and other professionals who work with financial • Renegotiating the outsourcing deal information. • Counseling suppliers for successful negotiations • Negotiating cloud services, cloud migration Topics Include • Spotting intellectual property issues in sourcing agreements • Key factors shaping financial reporting • GDPR, privacy and data security — key terms and conditions • Foundational finance, accounting and economics terminology • Pricing schemes and financial deal structures and principles • How businesses generate, deploy and manage capital Credit Available: CLE, CPD, CPE (NASBA) and IAPP (Privacy) CPE • How to “navigate” and understand the basic financial statements Senior Program Attorney: Willis Goodmoore • Practical corporate finance concepts — financial ratios and analysis Chicago, September 23-24 • The use of valuations and evaluating the financial health of an entity New York, Live Webcast* & Groupcast Locations, October 30-31 • Fraud, corruption and regulatory risks • Case Study: “Accounting Fundamentals and Financial Statements Chicago, #253870 • New York, #253871 • Atlanta, #267398 • Boston, #267215 in Practice” • Cleveland, #267432 • Mechanicsburg, #267740 • New Brunswick, #267390 • Philadelphia, #267738 • Pittsburgh, #267739 Special Features Program Fee: $1,895; Course Handbook: #253876, $220 • Earn Ethics and Skills credit • Appropriate for litigation and transactional attorneys

Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) Program Attorney: Stephanie N. Figueroa San Francisco & Live Webcast,* September 23-24 Chicago, October 23-24 New York, Live Webcast* & Groupcast Locations, November 25-26 San Francisco, #253238 • Chicago, #253239 • New York, #253240 • Cleveland, #267233 • Mechanicsburg, #267720 • Nashville, #267234 • New Brunswick, #267232 • Philadelphia, #267718 • Pittsburgh, #267719 Program Fee: $1,895; Course Handbook: #253241, $220

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Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 9 CORPORATE AND SECURITIES

Hedge Fund and Private Equity Enforcement Broker/Dealer Regulation and Enforcement & Regulatory Developments 2019† 2019† Chair Chair Barry R. Goldsmith, Gibson, Dunn & Crutcher LLP, New York City Carmen J. Lawrence, King & Spalding, New York City The SEC and other government agencies continue to focus enforcement This program will address recent key developments and priorities in and examination efforts on managers of private hedge funds and private the regulation and oversight of broker-dealers. The current regulatory equity funds. As such, attorneys need to stay on top of the notable agendas are a mix of regular mainstays with new areas of focus including trends and developments impacting the hedge fund and private equity cybersecurity, digital assets, online distribution platforms, FinTech, industry Every year, the Hedge Fund and Private Equity Enforcement & anti-money laundering, protection of retail investors and financial, market Regulatory Developments program takes a broad view of the industry, and operational risks. This program brings together a distinguished faculty taking account of what the regulatory and enforcement priorities were and of regulators, including officials from the DOJ, SEC, CFTC, and FINRA, how the year actually played out. This year’s program will continue the state regulators, industry experts, and leading practitioners to discuss tradition, bringing leading regulatory perspectives together with in-house issues that will help you keep up with the changing landscape of the and firm counsel to deliver a comprehensive review of the year that was, securities business and its regulatory oversight. its practical takeaways and what may be on the horizon for the industry. Topics Include Topics Include • Current regulatory issues being addressed by the regulators • Current SEC, CFTC and other government hedge fund and private • Current examination and enforcement priorities of the SEC, CFTC, equity enforcement and examination priorities SROs and state regulators • Improving your firm’s compliance program and managing regulatory risk • Private securities litigation impacting broker-dealers • Preparing for examinations by the SEC’s Private Fund Unit • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory Credit Available: CLE, CPD, CPE (NASBA), CFE (Fraud) and exposure CCB (Compliance) CEUs Credit Available: CLE, CPD, CPE (NASBA), CFE (Fraud), Program Attorney: Stephanie N. Figueroa CCB (Compliance) CEUs and ABA (Bankers) CE New York, Live Webcast* & Groupcast Locations, October 1 Senior Program Attorney: Grace E. O’Hanlon New York, #252916 • Atlanta, #267226 • Boston, #267225 • Indianapolis, #267674 New York, Live Webcast* & Groupcast Location, October 10 • Mechanicsburg, #267677 • New Brunswick, #267224 • Philadelphia, #267675 • Pittsburgh, #267676 New York, #248452 • Atlanta, #266991 Program Fee: $1,995; Course Handbook: #252922, $220 Program Fee: $1,850; Course Handbook: #248453, $220

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10 | To Register/Order, Call 800.260.4754 | Table of Contents CORPORATE AND SECURITIES

Preparing for Shareholder Activism: Securities Law and Practice 2019: What You Need to Be Doing Now 2019 How the SEC Works† Co-Chairs Chair Edward J. Lee, Wachtell, Lipton, Rosen & Katz, New York City Clifford E. Kirsch, Eversheds Sutherland (US) LLP, New York City Eric L. Schiele, Kirkland & Ellis LLP, New York City Securities lawyers need to have a firm grasp of not only the federal Hedge fund activism has become a ubiquitous feature of the corporate securities laws, but also of how the SEC works to administer these laws. landscape, affecting public companies of all sizes. As the phenomenon In this program, you will be given an introduction to the federal securities has become more commonplace, it has also become more diverse, laws as well as to the operating divisions at the SEC that administer the and the means of addressing it and being prepared for it have evolved. laws. You will be provided with what you need to know about how the SEC Learn about the current state of hedge fund activism and best practices administers the securities laws — and the other agencies that the SEC for preparing for and engaging with activists. This program is geared to interacts with on a regular basis. Attorneys and compliance and business attorneys with responsibility for advising officers, directors and other professionals seeking to gain a foundation in the securities laws and senior company officials on their governance matters and issues, as well securities practice will find this program useful. Additionally, the program as for directors and officers themselves. provides current information on various SEC-related practice issues that will interest more experienced securities attorneys. Topics Include • What was new in 2019 and what to expect in 2020 Topics Include • Do activists add value for all shareholders? • The sources of securities law and regulation • Understanding what makes the company vulnerable and • A look at the structure of the SEC’s enforcement program attracts activists • SEC review of disclosure documents • The different roles and responsibilities of the SEC’s operating divisions Credit Available: CLE, CPD and CPE (NASBA) • The role of the SEC’s regional offices versus the SEC’s headquarters Program Attorney: Stephanie N. Figueroa Credit Available: CLE, CPD and CPE (NASBA) New York, Live Webcast* & Groupcast Locations, October 17, Senior Program Attorney: Grace E. O’Hanlon 9:00 a.m. – 1:00 p.m. ET New York, #248458 • Cleveland, #267295 • Mechanicsburg, #267703 New York, Live Webcast* & Groupcast Locations, October 17, • Philadelphia, #267701 • Pittsburgh, #267702 1:30 – 5:00 p.m. ET Program Fee: $995; Course Handbook: #248459, $60 New York, #253552 • Atlanta, #266992 • Boston, #266861 • Cleveland, #266993 • Indianapolis, #267609 • Nashville, #266994 Program Fee: $895; Course Handbook: #253557, $220

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Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 11 CORPORATE AND SECURITIES

Fundamentals of Swaps & Other Derivatives Advanced Swaps & Other Derivatives 2019 † 2019 Co-Chairs Co-Chairs Gary Barnett, Former Deputy Director, Division of Trading and Markets, U.S. Securities and Exchange Commission, Washington, DC , Former Deputy Director, Division of Trading and Markets, Gary Barnett Joshua D. Cohn, Managing Principal, JBHS LLC, New York City U.S. Securities and Exchange Commission, Washington, DC Joshua D. Cohn, Managing Principal, JBHS LLC, New York City The Dodd-Frank Act established a novel, comprehensive framework for the regulation of over-the-counter (OTC) derivatives and the market Over-the-counter (OTC) derivatives are key elements in many of our participants who transact in these products. That regulatory framework, financial markets. The Dodd-Frank Act and other regulations have split primarily between the SEC and CFTC, has been substantially changed and are continuing to change how these important instruments implemented by the CFTC. For their part, the SEC has made substantial are regulated and transacted. This program will introduce you to both the progress and has most recently focused on finalizing the rules applicable instruments and their current environment. to security-based swap dealers and major participants. A derivative is a financial instrument that allocates the risks and price The regulatory regime touches the activities of all participants in the exposures associated with a designated reference asset or entity swaps markets, from end-users to major swap participants to swap between the parties thereto. Derivatives can provide price exposure or dealers. The regulations also affect a broad range of market facilities from price insulation to changes in the price or level of an open-ended range clearinghouses to exchanges, to newly conceived swap execution facilities of assets or baskets of assets, including indices, stocks, interest rates, and swap data repositories, and other regulatory initiatives are also currencies, bonds, commodities, insured risks, credit risks, investment replacing the market. funds, property, the weather and more. Derivatives are used in an infinite variety of ways by commercial, charitable, educational and governmental The Dodd-Frank Act imposes registration requirements, mandatory entities to manage the commercial and financial risks they confront. clearing and trading requirements, margin requirements, capital and OTC derivatives have been bilaterally traded for many years. They are now business conduct standards, and transaction and position reporting, as becoming subject, in some cases, to required clearing and exchange- well as limitations on swap positions. type trading. An understanding of the current regulations and of the The legislation also established limitations on the scope of derivatives characteristics, documentation and regulation of these instruments is the and proprietary trading activities that may be conducted by certain first step to effective lawyering. financial institutions. At this program, our distinguished faculty will explain what OTC derivatives At this program, our distinguished faculty will provide a comprehensive have been, what they are becoming and how they are documented. The overview of the evolving regulatory framework for OTC derivatives and faculty will also provide an overview of the regulatory framework for OTC derivatives market participants, and explain how the regulatory framework derivatives and OTC derivatives market participants and explain how the affects these products, the structure of the market for these products, and regulatory framework is affecting these markets and market participants. market participants. The program will also cover documentation issues, and recent developments in tax, accounting and litigation related to OTC Topics Include derivatives, as well as professional responsibility issues associated • What are OTC derivatives? with derivatives. • What are the basic features of interest, credit, equity and commodity swaps? Topics Include • How are derivatives commonly traded today? • A comprehensive analysis of the current regulatory framework for • What changes in trading methods are occurring? OTC derivatives: • What is the ISDA Master Agreement and how does it work? ­ - Who is required to register and as what? • What additional documentation has appeared in response to ­ - How is cross-border activity covered under the market changes? regulatory framework? • How are OTC derivatives being regulated? ­ - What is the status of mandatory clearing and trading requirements? ­ - What are the reporting requirements? Credit Available: CLE, CPD and CPE (NASBA) ­ - What are swap execution facilities? Senior Program Attorney: Lauren E. Nochta ­ - Who must be regulated as a swap execution facility? ­ - What are the pending margin requirements and to whom do New York, Live Webcast* & Groupcast Locations, October 21 they apply? New York, #247700 • Atlanta, #267195 • New Brunswick, #267196 ­ - When must swap market participants be registered as futures Program Fee: $1,850; Course Handbook: #247701, $110 commission merchants? ­ - How have banks and their affiliates been affected by limitations on derivatives and proprietary trading activities? ­ - Are position limits applicable to OTC derivatives? ­ - What changes have been made to existing insolvency law or are being considered? What is the Resolution Stay Protocol? ­ - How are the amended federal commodity and securities laws affecting brokers, advisers and funds transacting in OTC derivatives? • Significant issues relating to credit, equity and commodity derivatives • Recent litigation developments related to derivatives • Tax and accounting developments applicable to derivatives • Professional responsibility and derivatives Special Feature • Earn one hour of Ethics credit Credit Available: CLE, CPD and CPE (NASBA) Senior Program Attorney: Lauren E. Nochta New York, Live Webcast* & Groupcast Locations, October 22-23 New York, #247706 • Atlanta, #267197 • New Brunswick, #267198 Program Fee: $2,595; Course Handbook: #247707, $220

12 | To Register/Order, Call 800.260.4754 | Table of Contents CORPORATE AND SECURITIES

Securities Offerings 2019: A Public Offering Advanced Venture Capital 2019 † from Start to Finish Co-Chairs Chair Christie Branson Ma, Silicon Valley Bank / SVB Capital, Menlo Park, CA Curtis L. Mo, DLA Piper LLP (US), East Palo Alto, CA D. Scott Bennett, Cravath, Swaine & Moore LLP, New York City This program provides an in-depth analysis of current market conditions This program simulates a public offering from start to finish: from the and the changing legal environment, and is geared toward the experienced initial kickoff meeting, to understanding how the law translates into the venture capital practitioner. Our expert faculty of lawyers, venture mechanics of doing an offering, to working with the SEC and applicable capitalists and business executives will analyze the legal and business stock exchange, to the closing dinner. The “how to do it” approach issues relevant to navigating today’s evolving venture capital world. includes the preparation of registration statements, the SEC review and comment process, stock exchange listing and pricing mechanics. We will also address the latest financing trends, current deal terms, exit The course will also highlight “hot” topics in the current environment. strategies, and legal and practical implications of the new securities laws This program is intended for counsel to issuers and underwriters and on the venture capital market. This program is designed for experienced other attorneys whose practice involves public securities offerings and securities, corporate and other attorneys who advise startup companies Rule 144A offerings. and their investors, as well as venture capitalists.

Topics Include Topics Include • Explore the public offering process from beginning to end • State of the industry: update on recent developments, including • Learn to work effectively with the SEC — including registration, new fund formation, investment trends and regulatory developments disclosure and publicity restrictions • Recent trends in seed stage, venture capital and growth equity • Focus on drafting key securities offering documentation financing terms • Earn up to 1.5 hours Ethics CLE credit learning the importance of • Digital assets and blockchain developments ethics in due diligence in the offering process — comfort letters, • Corporate governance issues in venture-backed companies 10b-5 statements and in-house counsel considerations • International and emerging markets, and inbound foreign investment issues Special Feature • Exit deal terms and strategies • Earn one hour of Ethics credit Credit Available: CLE, CPD and CPE (NASBA) Credit Available: CLE, CPD and CPE (NASBA) Program Attorney: Jesse Sands Program Attorney: Jesse Sands New York, Live Webcast* & Groupcast Locations, October 25 San Francisco & Live Webcast,* October 29 New York, #253464 • Atlanta, #266969 • Boston, #266935 • Cleveland, #266970 San Francisco, #248476 • New Brunswick, #266934 Program Fee: $1,850; Course Handbook: #248477, $220 Program Fee: $1,850; Course Handbook #253469, $220 “This was an excellent seminar. All the speakers were up to date on current transactions and marketplace issues. I look forward to next year’s program.” – Grant Grayson, LeClairRyan

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 13 CORPORATE AND SECURITIES

Bank Fiduciary Activities and Collective 51st Annual Institute on Investment Funds 2019†** Securities Regulation† Chair Co-Chairs Clifford E. Kirsch, Eversheds Sutherland (US) LLP, New York City Meredith B. Cross, Wilmer Cutler Pickering Hale and Dorr LLP, Washington, DC This half-day program covers the regulatory framework governing bank Keith F. Higgins, Ropes & Gray LLP, Boston fiduciary activity and bank collective funds. Banks and their affiliates act in Carmen J. Lawrence, King & Spalding, New York City a variety of fiduciary capacities, including as investment advisers and as personal trustees. At the same time, collective investment funds, which The Institute on Securities Regulation brings together the nation’s have been around for many years, are undergoing a marked growth and leading securities and corporate legal experts to deliver practical today are a significant player in the industry. This conference will be of information, insights and real-world strategies and solutions to the interest to all legal, compliance and operational professionals involved in challenges facing you and your clients today. bank asset management and collective investment trusts, including those who work at asset management firms, banks, trust companies or other Topics Include service providers. • The latest developments in the capital markets, from unicorn IPOs, to due diligence issues, to direct listings, and more Special Features • Financing issues for late-stage and smaller reporting companies, • How the OCC regulates bank asset management and collective including structured notes, ICOs, and more investment funds • The ABCs of ESG (New) • Personal trust activity • Disclosure challenges for public companies • The role of state banking regulation • Workshop on engagement (New) • Applicability of securities laws to bank fiduciary activity • A primer on proxy • Non-depository trust activities vs. bank activities • Accounting and auditing developments that companies, • Types of bank commingled funds and their regulation audit committees and counsel need to know Credit Available: CLE, CPD, CPE (NASBA) and CCB (Compliance) CEUs • Recent developments in Delaware law • What’s trending in M&A Senior Program Attorney: Grace E. O’Hanlon • Updates on enforcement priorities from state and federal regulators New York, Live Webcast* & Groupcast Locations, October 29, • The defense perspective on enforcement 1:30 – 5:00 p.m. ET • Key considerations in bringing, defending and resolving private New York, #248470 • Atlanta, #266995 • Cincinnati, #266996 • Mechanicsburg, securities litigation #267617 • Nashville, #266997 • Philadelphia, #267615 • Pittsburgh, #267616 Special Features Program Fee: $895; Course Handbook: #248471, $60 • Receive practical takeaway points from each panel • Network with our faculty and hundreds of your colleagues **Formerly Bank Asset Management and Collective Investment Funds 2019 • Earn up to two hours of Ethics credit!

Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) Senior Program Attorney: Grace E. O’Hanlon New York & Live Webcast,* November 4-6 New York, #253647 Program Fee: $2,895; Two-Volume Course Handbook: #253648, $240

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Hot Topics for In-House Counsel 2019† Seventeenth Annual Directors’ Institute on Co-Chairs Corporate Governance Brackett B. Denniston, III, Goodwin Procter LLP, Boston Co-Chairs Anne T. Madden, Senior Vice President, General Counsel and Corporate Secretary, Honeywell, Morris Plains, NJ Mark J. Gentile, Richards, Layton & Finger, PA, Wilmington, DE Keir D. Gumbs, Uber Technologies, Inc., San Francisco The role of the in-house counsel continues to transform to meet new Jeffrey D. Karpf, Cleary Gottlieb Steen & Hamilton LLP, New York City challenges in relation to an increasingly global economy, financial turmoil and continually changing new technologies. It is essential for all New expectations and additional responsibilities are being placed on in-house counsel to be informed of the latest developments and to boards in critical areas of governance, including oversight of complex possess effective, budget-conscious strategies for managing the legal and operational issues, risk management, board succession, audit committee practical business matters of corporate law departments, while adding oversight, executive compensation, disclosure, and responsiveness to and value to the enterprise. communication with shareholders pressing different concerns. In addition, new laws and regulations, and pressure from institutional shareholders, Topics Include have put new requirements on companies and on boards. Looking • Latest developments in in-house legal operations and AI forward, what changes can boards expect to face? At this renowned Institute, leading corporate governance experts — directors, government • Supreme Court cases that will impact Corporate America officials, corporate counsel, and academics — will share their perspectives • Developments in corporate governance, including ESG, on the fast-changing regulatory environment, the new competing proxy advisory role, and shareholder activism pressures and expectations being placed on boards, and needed steps • Managing intellectual property litigation developments boards will want to consider. • International and domestic antitrust law update • Hot topics in employee matters Topics Include • The evolving role of audit committees Special Features • Data management: understanding the director’s role • Lunch with Keynote Presentation • Enforcement and liability issues • Network with general counsel from leading corporations • Nuts and bolts of creating an ESG policy • Shareholder activism: preventative and curative measures Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) • C-suite misconduct issues Senior Program Attorney: Seema Lal Meehan Special Features New York, Live Webcast* & Groupcast Locations, November 15 • Featured Speaker: SEC Commissioner Robert J. Jackson, Jr. New York, #248651 • Atlanta, #267042 • Boston, #267046 • Cincinnati, #267043 • Luncheon workshop on the “Nuts and Bolts of Creating an ESG Policy” • Cleveland, #267044 • Columbus, #267045 • Indianapolis, #267645 • Nashville, #267047 • New Brunswick, #267048 Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) Program Fee: $1,850; Course Handbook: #248652, $220 Senior Program Attorney: Grace E. O’Hanlon New York, Live Webcast* & Groupcast Locations, November 20 “Good depth of discussion. Good teachers.” New York, #248482 • Atlanta, #266998 • Cleveland, 266999 • Columbus, #267000 – Nathan Arrington, Sheppard Mullin Richter & Hampton • Indianapolis, #267614 • Mechanicsburg, #267613 • New Brunswick, #266862 • Philadelphia, #267611 • Pittsburgh, #267612 Program Fee: $1,995; Course Handbook: #248483, $220 “Especially qualified and insightful panelists and discussions. Well done.” – Stacey K. Van Camp, NextEra Energy Resources, LLC “All panels were excellent, particularly the criminal/regulatory enforcement and crisis management.” – Jennifer D’Alessandro, Bryan Cave Leighton Paisner LLP

“Great program!” – William Baldwin, Vorys Sater Seymour & Pease LLP

INDIVIDUAL PRIVILEGED MEMBERSHIP UNLIMITED ACCESS TO PLI’S LIVE AND ONLINE PROGRAMMING FOR ONE FLAT ANNUAL FEE! For more information on Individual Privileged Membership, please call 800.260.4754 or email [email protected]

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 15 CORPORATE AND SECURITIES

Financial Services RegTech and Regulatory Annual Disclosure Documents 2019: Compliance Forum 2019 Current Developments and Best Practices Chair Co-Chairs Clifford E. Kirsch, Eversheds Sutherland (US) LLP, New York City Sandra L. Flow, Cleary Gottlieb Steen & Hamilton LLP, New York City Michael L. Hermsen, Mayer Brown LLP, Chicago Financial services firms’ corporate compliance programs continue to be Mary J. Mullany, Ballard Spahr LLP, Philadelphia under intense regulatory scrutiny and face immense challenges brought upon by the FinTech revolution. Many new rules have been issued that Stay current on disclosure requirements and developments affecting impact the manner in which financial services firms operate. At the same annual disclosure documents and proxy soliciting materials prepared time, these programs have to adapt to financial services regulators’ by SEC reporting companies. Hear from the SEC staff and our faculty, collection and analysis of a wide variety of data to help inform policy who will focus on anticipated changes to the SEC disclosure regime, and to detect problematic behavior. At this program, attendees will current “hot issues,” best practices, and practical pointers. Our faculty get a solid foundation in the relevant regulatory framework, as well as will discuss any proposed or final regulatory changes, plus domestic and practical considerations regarding the design and implementation of international economic, political and regulatory developments. There will such programs. A distinguished faculty of practitioners and regulators will also be a focus on the impact of tax law changes on disclosures, results of review the major regulations and current examination and enforcement the first year of pay ratio disclosure, cybersecurity disclosure, and trends actions to give attendees a multifaceted perspective on requirements and in environmental, social and governance (ESG) disclosure. Regulatory best practices in this area. Attorneys practicing in the financial services developments, key areas of staff comment, staff review priorities and industry will benefit from the program’s thorough grounding regarding interpretations, disclosure drivers and best practices, and “must know” the basic regulatory regime governing financial services firms’ corporate accounting developments affecting financial disclosures will be covered. compliance programs. Legal and compliance personnel already working We will also address ethics and whistleblower developments, as these in the industry will also benefit from updates and practical advice that will matters impose even further challenges on both in-house and serve as a refresher. outside counsel.

Topics Include This program will be of interest to attorneys, accountants, financial and compliance officers, disclosure committee members and others • Who are the primary regulators and how do they interact? responsible for preparing public company disclosures and otherwise • How do the regulators apply data analytics? overseeing compliance with the securities laws. • How are conflicts of interest identified and resolved? • What are the important RegTech initiatives? Topics Include • What can we learn from recent enforcement activity? • Practical guidance on drafting annual disclosure and proxy documents • What practical considerations should be taken into account with respect • SEC, FASB and PCAOB developments affecting financial disclosures to the integration of a compliance and risk program within a financial • Disclosure developments reflecting the priorities of the new SEC chair services firm? and administration • What are the roles of the Chief Compliance Officer and counsel advising • Updates on new and current hot topics in executive the CCO? compensation disclosures • What are today’s hot topics being addressed by firms’ corporate • Updates on disclosure effectiveness initiatives compliance programs? • Practical guidance for holding a successful annual meeting • What are the roles of the lawyer and compliance officer with respect to • Tips for interfacing with shareholders risk assessments? • Ethical, regulatory and litigation developments

Special Feature Special Feature • Earn one hour of Ethics credit • Earn one hour of Ethics credit Credit Available: CLE, CPD, CPE (NASBA), CFE (Fraud) and Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) IAPP (Privacy) CPE Program Attorney: Stephanie N. Figueroa Program Attorney: Jesse Sands New York, Live Webcast* & Groupcast Locations, December 9-10 New York, Live Webcast* & Groupcast Locations, November 21 New York, #250329 • Atlanta, #267238 • Boston, #267236 • Cleveland, #267237 New York, #247718 • Atlanta, #267247 • Mechanicsburg, #268216 • Mechanicsburg, #267743 • New Brunswick, #267235 • Philadelphia, #267741 • New Brunswick, #266883 • Philadelphia, #268214 • Pittsburgh, #268215 • Pittsburgh, #267742 Program Fee: $1,850; Course Handbook: #247731, $110 Program Fee: $1,895; Course Handbook: #250334, $220

16 | To Register/Order, Call 800.260.4754 | Table of Contents CORPORATE AND SECURITIES

Coping with U.S. Export Controls and NEW! Sanctions 2019 Fund Finance 2019 Co-Chairs Chair Peter L. Flanagan, Covington & Burling LLP, Washington, DC Matthew K. Kerfoot, Dechert LLP, New York City Christopher R. Wall, Pillsbury Winthrop Shaw Pittman LLP, Washington, DC Fund Finance 2019 features some of the industry’s most respected fund The Trump administration is making its mark on export controls and finance lawyers, ready to share their expertise and insights in structuring sanctions policy, and it is more important than ever for institutions in all and negotiating a variety of complex fund financing transactions. sectors of the economy to stay on top of key developments. Companies and financial institutions must be aware of their compliance and disclosure As the fund finance industry continues to experience dramatic growth, our obligations, enforcement trends and priorities, and emerging risks. faculty will discuss the latest developments and market trends in key areas Implementing and strengthening compliance programs is an increasingly of fund finance — subscription facilities, fund-level leverage facilities, important priority in all industries. For over twenty years, PLI’s Coping and financings secured by private credit portfolios, private equity limited with U.S. Export Controls has been the go-to program on trade control partnership interests, and management and performance fees and general laws and regulations. The program enables attendees to “get inside” partner distributions. international trade controls through give-and-take among key officials from the government agencies that regulate cross-border trade and investment, Topics Include experienced corporate professionals, and top lawyers in the field. • Issues in structuring subscription facilities • A primer on hybrid subscription/warehouse facilities This program is designed for attorneys from law firms and law departments; counsel and managers from companies selling consumer, • Negotiating and structuring fund-level credit facilities high-tech, and defense products; and compliance professionals from • Structuring SPV financings banks, carriers, and trade logistics firms. • What lawyers need to understand when structuring and negotiating NAV facilities Topics Include • Economic sanctions on Russia, Iran, Cuba, Syria, North Korea and Credit Available: CLE, CPD and CPE (NASBA) Venezuela — regulatory and legislative developments Senior Program Attorney: Lauren E. Nochta • Iran sanctions — impact of sanctions snap-back • Export control initiatives in the Trump administration New York, Live Webcast* & Groupcast Locations, December 18, 1:30 – 5:00 p.m. ET • The role of CFIUS in technology transfer transactions • Cloud computing and data management New York, #263268 • Atlanta, #267205 • Cleveland, #267206 • Indianapolis, #268514 • Nashville, #267207 • Lessons from ZTE and other recent enforcement cases Program Fee: $895; Course Handbook: #263273, $60 • Compliance programs: trends and best practices • Ethics issues for international trade control practitioners

Special Features • Earn one hour of Ethics credit • Networking Luncheon with Featured Speaker Credit Available: CLE, CPD, CPE (NASBA) and IAPP (Privacy) CPE Program Attorney: Justin Capuano Washington, DC, December 12-13 Washington, DC, #250341 Program Fee: $2,045; Course Handbook: #250342, $220

Now you can attend PLI programs at our remote viewing locations in Atlanta, Boston, Cincinnati, Cleveland, Columbus, Indianapolis, Mechanicsburg, Nashville, New Brunswick, PLI Philadelphia and Pittsburgh. Get a classroom experience — and live CLE credit — without having to GROUPCASTS leave town.

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 17 COMPLIANCE / ACCOUNTING

Advanced Compliance and Ethics Basics of Accounting for Lawyers 2019: Workshop 2019 What Every Practicing Lawyer Needs to Know† Chair Co-Chairs Jeffrey M. Kaplan, Kaplan & Walker LLP, Princeton, NJ Lawrence M. Cirelli, Hanson Bridgett LLP, San Francisco Tim Sherman, FTI Consulting, Inc., Los Angeles Effective compliance and ethics programs are essential to companies of all kinds. Such programs help organizations prevent, detect and respond Increasingly, lawyers are learning how helpful it is to have a basic in an effective manner to misconduct. knowledge of accounting. Whether working on an M&A deal or litigating Compliance and ethics (C&E) programs are necessary tools for managing an accounting fraud allegation, having a baseline understanding the substantial risks that can be posed by employee and third-party of accounting concepts and terms can only help lawyers to better misconduct, and assisting organizations in mitigating the harm from understand the full picture of legal matters they work on that may involve violations when they occur. Companies with robust C&E programs elements of accounting or finance. minimize the likelihood of devastating criminal and regulatory actions — Designed for lawyers of all experience levels, Basics of Accounting for and also reap the reward of employee loyalty and customer and Lawyers reviews how some common accounting concepts may emerge shareholder trust. At this Workshop, experienced compliance officers and in legal work, and what lawyers should consider when encountering them. in-house and law firm attorneys working in the compliance field will learn The goal of this program is to help lawyers familiarize themselves with the the best C&E practices from faculty drawn from major corporations, language of accounting to become better at their practice. law firms, academia, and government agencies. They will provide you with the tools you need to advance your program, protect your company, and Topics Include further your professional development. • Understanding Generally Accepted Accounting Principles (GAAP) • Learning the accounting cycle Topics Include • How to read the balance sheet, income statement, statement of cash • New standards and recent case law — both in the U.S. and elsewhere flows, and notes to the financial statements • The role of “behavioral ethics” in corporate compliance programs • Ethical considerations in working with financial experts • How to design and conduct C&E risk assessments • Regulatory changes and views from those impacted or involved in • Creating a risk-based training and communications plan the changes • Structuring and staffing your program to ensure sufficient • Tax accounting vs. book accounting independence, reach and clout • Accounting fraud and damages calculations • Receiving, investigating, managing and escalating allegations • Using incentives to promote compliance Special Feature • How to perform effective compliance audits, program assessments, and • Earn one hour of Ethics CLE credit compliance monitoring Credit Available: CLE, CPD and CPE (NASBA) • Reporting to the board and senior management Program Attorney: Stephanie N. Figueroa Above all, you will learn how to develop and maintain a true San Francisco & Live Webcast,* July 23-24 “culture of compliance” at your company. San Francisco, #252427 Special Features Program Fee: $1,895; Course Handbook: #252436, $220 • Earn one full hour of Legal Ethics credit • Benchmark with your peers • Interactive format “Very well done and a most useful CLE.” – David Voyles, Alaska Airlines Credit Available: CLE, CPD, CPE (NASBA), CFE (Fraud), CCB (Compliance) CEUs and HRCI/SHRM Program Attorney: Victoria Kennedy New York, Live Webcast* & Groupcast Locations, October 28-29 New York, #253281 • Atlanta, #266973 • Cleveland, #266974 • Columbus, #266972 • Indianapolis, #267848 • Mechanicsburg, #267847 • Philadelphia, #267845 • Pittsburgh, #267846 Program Fee: $1,895; Course Handbook: #253283, $220

“Great practical tips and discussions throughout the 2 days.” – Janie Trice, Dun & Bradstreet

18 | To Register/Order, Call 800.260.4754 | Table of Contents ACCOUNTING

Limited Space. Register Early! Limited Space. Register Early! Accounting for Business Combinations SEC Reporting Skills Workshop for Workshop 2019 Financial Professionals 2019 Workshop Leader Workshop Leaders George M. Wilson, Director, SEC Institute, a Division of PLI Bob Laux, Associate Director, SEC Institute, a Division of PLI Cheryl L. Linthicum, Professor of Accounting and former Associate Dean, Learn to apply the business combinations accounting guidance in a College of Business, The University of Texas at San Antonio pragmatic, practical way. Workshop participants will gain an in-depth Lawrence Shapiro, Retired Partner/Senior Consultant, BDO USA, LLP understanding of how to apply the FASB standard (codified in ASC 805) George M. Wilson, Director, SEC Institute, a Division of PLI on business combinations, including recent ASUs related to business combinations; how to make journal entries in specific situations; the areas Build the foundational knowledge and practical experience necessary where estimation and judgment is required; the SEC requirements for to prepare and review the SEC’s periodic and current reporting forms, financial statements and pro forma information for significant business including the 10-K Annual Report, the 10-Q Quarterly Report and the 8-K combinations; and the appropriate financial statement disclosure. Current Report. Learn how to comply with the annual proxy requirements This Workshop is geared for financial reporting professionals who are and how insider trading rules work. This Workshop is geared to beginners involved in accounting for business combinations, who review or audit or as a refresher for experienced SEC reporting professionals. CFOs, such transactions, or who work in functional areas that could be impacted controllers and their staff, internal auditors, partners of public accounting by a business combination transaction, such as tax professionals or firms and their staff, investor relations professionals, audit committee lawyers involved in M&A transactions. members, and others involved in the preparation of SEC filings will take away valuable practical information and skills necessary to succeed in Topics Include the current SEC reporting environment. For attorneys, general counsel, • The typical process of acquiring a business, from an accountant’s in-house counsel and corporate legal staff, we recommend taking our perspective SEC Reporting and Practice Skills Workshop for Lawyers, for a more • The steps in accounting for the acquisition: in-depth analysis of legal issues in SEC reporting. ­ - Is it a business? FASB’s tweak to the definition of a business Topics Include ­ - Who is the acquirer? • Key disclosure issues in Forms 10-K, 10-Q and 8-K, and ­ - What did the company buy and what are the recognition and the proxy statement measurement principles? • Understanding the structure and use of the SEC’s Integrated Disclosure ­ - What was the consideration, including determination of contingent System, including Regulations S-K and S-X, Staff Accounting Bulletins consideration vs. compensation, and replacement options issued and all related guidance for acquiree awards? • Mastering the art of writing an effective MD&A • The measurement period and the ASU that simplifies the • Reviewing all of the changes to Regulations S-K and S-X from the related accounting SEC’s March 2019 and August 2018 Disclosure Modernization and • Frequently encountered implementation issues Simplification Final Rules • What additional disclosures may be needed in your periodic reports? • Reviewing the expanded definition of Smaller Reporting Company and • How to manage the volume of disclosure the opportunities it presents for companies • The FASB’s Private Company Council accounting alternatives • Learning the latest developments from the SEC, including cybersecurity • SEC Form 8-K filing requirements and guidance for acquisition financial disclosures and other disclosure changes statements, including carve-outs, pro forma financial information and • Understanding the SEC staff’s “hot buttons,” including frequent additional considerations for cross-border acquisitions comment areas such as quantified MD&A analysis, non-GAAP • Pushdown accounting, reverse mergers, and other sundry topics measures, revenue recognition, the statement of cash flows, segments, and contingencies Prerequisites: A background in financial reporting and accounting. Prerequisites: We recommend some prior experience with the SEC Credit Available: CPE (NASBA) reporting process and use of the Instructions to Forms and Regulations Senior Program Attorney: Robin D. Goldstein S-K and S-X. New York, August 14 Credit Available: CPE (NASBA), CLE, CPD and CFE (Fraud) New York, #250501 Senior Program Attorney: Robin D. Goldstein Program Fee: $1,195 New York, August 15-16 Dallas, August 19-20 SEC Institute is not affiliated with the U.S. Securities and Exchange Commission. San Francisco, August 26-27 Note: Privileged Members will receive a 20% discount. New York, October 3-4 Chicago, October 21-22 Orlando, November 18-19 Atlanta, November 21-22 San Francisco, November 25-26 New York, December 10-11 New York (August), #253151 • Dallas, #253152 • San Francisco (August), #253153 • New York (October), #253154 • Chicago, #253155 • Orlando, #253157 • Atlanta, #253158 • San Francisco (November), #253159 • New York (December), #253160 Program Fee: $1,495

Please visit www.pli.edu for information regarding the Workshop Leader for a specific program location.

SEC Institute is not affiliated with the U.S. Securities and Exchange Commission. Note: Privileged Members will receive a 20% discount.

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 19 ACCOUNTING

Limited Space. Register Early! Limited Space. Register Early! Implementing the FASB’s New Hedge Implementing the FASB/IASB New Revenue Accounting Standard Workshop 2019: Recognition Standard Workshop 2019 A Simplified and Practical Approach to Workshop Leader Hedge Accounting George M. Wilson, Director, SEC Institute, a Division of PLI Workshop Leaders Learn how to successfully use the new revenue recognition model in ASC 606. Through interactive lecture, case studies, and review of Mark Scoles, Retired National Partner, Accounting Principles Group, Grant Thornton LLP examples from adopting companies, Workshop participants will learn how the new revenue recognition standard measures and records revenue and George M. Wilson, Director, SEC Institute, a Division of PLI affects the related estimates and judgments required. Participants will also In this interactive Workshop participants will learn the details and grasp where problems and challenges, including SEC comments, are most mechanics of the FASB’s new hedge accounting standard. Discussion and likely to occur and develop the necessary tools to resolve these issues. case studies will include changes to the designation and documentation This Workshop is geared to financial reporting professionals who are requirements and the process of assessing hedge effectiveness, along involved in revenue recognition accounting, who review such accounting, with the revisions to the accounting and presentation for hedging or who need to understand how revenue recognition affects their financial activities. This new hedge accounting guidance has two main goals: reporting. In addition, professionals in other areas such as treasury, tax, to simplify the application of hedge accounting and to better match the analysis, counsel and operations who need to understand how the new economics of hedging activities with the results of hedge accounting. revenue recognition standard affects financial statements and related Through these goals companies can reduce the costs and complexities of disclosure will benefit from this Workshop. using hedge accounting. In addition, this standard creates opportunities for companies that previously avoided the complexities of hedge Topics Include accounting to utilize the new standard to better match hedging strategy • The required five-step process for revenue recognition in with accounting results. This Workshop is geared to financial reporting the new standard professionals who are involved in applying hedge accounting or who need • Key judgments, frequent challenges and difficulties in applying each of to understand how hedge accounting affects their financial reporting. the five steps In addition, professionals in other areas such as treasury, analysis and • Issues in identifying contracts with customers, cancellation clauses, operations who need to understand how the new hedge accounting will evergreen contracts and other contract judgments affect financial statements will benefit from this Workshop. • How to identify performance obligations in a contract Topics Include • Evolution and clarification of the concept of distinct • Transition dates and methods for adoption • How to measure arrangement consideration • The new hedge effectiveness assessment guidance • Dealing with variable consideration and other measurement issues • Quantitative initial expectation of effectiveness • Allocating consideration to performance obligations • Qualitative ongoing effectiveness assessment process • When a performance obligation is satisfied • Revisions to the short-cut method of assessing effectiveness • Performance obligations satisfied over time • Hedging financial and non-financial risk components • License and intellectual property accounting issues • Elimination of the requirement to measure and separately report • Principal vs. agent analysis hedge ineffectiveness • Dealing with the volume of required disclosure • Revision to the accounting for fair value and cash flow hedges • Making the call for how to disaggregate revenue for disclosure, • Changes to hedge documentation requirements including examples from early adopters • Where hedge accounting may now be practical • Joint Transition Resource Group and AICPA Task Force issues • Practical steps to implementation • Case studies and example SEC comments to explore issues in each of the five steps • Disclosures • ICFR issues in the new hedge model Prerequisites: A background in financial reporting and accounting. Prerequisites: Basic background in accounting for derivative instruments Credit Available: CPE (NASBA) and the application of hedge accounting. Senior Program Attorney: Robin D. Goldstein Credit Available: CPE (NASBA) Dallas, August 22-23 Senior Program Attorney: Robin D. Goldstein Las Vegas, September 25-26 Dallas, August 21 Dallas, #250470 • Las Vegas, #250471 New York, December 6 Program Fee: $1,495 Dallas, #253259 • New York, #253260 SEC Institute is not affiliated with the U.S. Securities and Exchange Commission. Program Fee: $1,195 Note: Privileged Members will receive a 20% discount.

SEC Institute is not affiliated with the U.S. Securities and Exchange Commission. Note: Privileged Members will receive a 20% discount.

20 | To Register/Order, Call 800.260.4754 | Table of Contents ACCOUNTING

Implementing the FASB’s New Financial Limited Space. Register Early! Instrument Standard on Credit Losses Form 10-K In-Depth Workshop 2019 (CECL) Workshop 2019 Workshop Leaders Workshop Leader Richard Alven, Former Senior Accounting Policy Advisor, Exxon Mobil Corporation George M. Wilson, Director, SEC Institute, a Division of PLI D. Reed Wilson, CPA, CMA, Technical Accounting and SEC Reporting The FASB’s new current expected credit loss (CECL) impairment standard Consultant; Former Senior Accounting Policy Advisor, creates an entirely new model for estimating allowances for loss on all Exxon Mobil Corporation financial assets. Under this new model, systems and methodologies will A hands-on Workshop designed to give participants a mastery of need to be adapted and implementation will require complex estimation the Form 10-K requirements, and takeaways on how to improve 10-K processes, including developing new information about historical credit disclosures. Interactive discussions involving participants’ and example losses and making judgments about when and how to adjust historical 10-Ks will enhance your understanding of each item, with particular information to reflect expectations of future losses. In this interactive focus given to the Management’s Discussion & Analysis (MD&A) section. Workshop participants will learn the foundational concepts of the CECL Workshop leaders will guide you through Form 10-K item-by-item, using model along with practical implementation steps to move from incurred PLI’s SEC Reporting Handbook, example filings from different industries, loss to current expected credit loss accounting. The less pervasive and a Workbook with reference materials. This Workshop is geared for changes for available-for-sale financial instruments along with required experienced SEC reporting professionals: CFOs, controllers and their system changes and practical steps for implementation will also be staff, partners of public accounting firms and their staff, in-house counsel, reviewed in-depth. This Workshop is geared to financial reporting investor relations professionals, and others involved in the preparation of professionals who are involved in developing allowances for loss on SEC filings. Participants will take away valuable practical information and financial instruments or need to understand how this accounting affects skills necessary to succeed in the current SEC reporting environment. their financial reporting. In addition, professionals in other areas such as treasury, analysis and operations who need to understand how the Topics Include new accounting for financial instrument impairment will affect financial • Learning the details of the changes to Regulations S-K and S-X from the statements will benefit from this Workshop. SEC’s Disclosure Update and Simplification Final Rule Topics Include • Reviewing current FASB and SEC disclosure initiatives and possible • Transition dates and methods for adoption future Form 10-K changes • The conceptual underpinnings and definitions for the CECL model • Critiquing example Form 10-Ks for different industries • Movement from incurred losses to current expected credit losses • Discussing best practices for disclosure effectiveness • Information required to estimate current expected credit losses • Learning the intricacies of preparing the MD&A • Historical information and internal and external information • Reviewing the non-GAAP rules and discussing practice issues • Estimates and judgments required to adjust historical information based • Discussing the SEC’s latest “hot-button” comment areas, and on future expectations best practices for comment letter responses • When to revert to historical information • Latest developments from the SEC, including expansion of the smaller reporting company system • Methodologies to estimate CECL • Reviewing and contrasting Form 10-Q vs. Form 10-K requirements • How the new model applies to assets purchased with credit deterioration • Proxy disclosure requirements and examples • Revised accounting for credit losses for available-for-sale Prerequisites: SEC Reporting Skills Workshop for Financial financial instruments Professionals or SEC Reporting and Practice Skills Workshop for • Application to PCD assets and certain beneficial interests Lawyers or experience with the SEC reporting process and use of the • Internal control over financial reporting considerations Instructions to Forms, Regulations S-K and S-X, Financial Reporting • Required disclosures Codification and Staff Accounting Bulletins. • Latest update from the Credit Losses Transition Resource Group Credit Available: CPE (NASBA), CLE and CPD Prerequisites: Basic background in accounting for credit losses. Senior Program Attorney: Robin D. Goldstein Credit Available: CPE (NASBA) New York, September 16-17 Senior Program Attorney: Robin D. Goldstein New York, December 2-3 San Francisco, December 16-17 New York, September 9 New York (September), #253166 • New York (December), #253168 San Francisco, November 14 • San Francisco, #253167 New York, #253278 • San Francisco, #253279 Program Fee: $1,495 Program Fee: $1,195 SEC Institute is not affiliated with the U.S. Securities and Exchange Commission. SEC Institute is not affiliated with the U.S. Securities and Exchange Commission. Note: Privileged Members will receive a 20% discount. Note: Privileged Members will receive a 20% discount. “I thought the program was great. I very much appreciated the instructors’ preparation which included reviewing and gaining familiarity with the most recent 10-K filed by each participant’s company. It really made the class a very informative and interactive experience.” – Matt Hammond, Nucor Corporation

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 21 ACCOUNTING

Limited Space. Register Early! Limited Space. Register Early! Implementing the FASB’s New Lease MD&A In-Depth Workshop 2019 Accounting Standard Workshop 2019 Workshop Leader Workshop Leaders George M. Wilson, Director, SEC Institute, a Division of PLI Mark Scoles, Retired National Partner, Accounting Principles Group, By using interactive lectures and examples, this Workshop will give Grant Thornton LLP participants a mastery of Regulation S-K Item 303, Management’s D. Reed Wilson, CPA, CMA, Technical Accounting and Discussion and Analysis (MD&A), for both annual and interim periods, SEC Reporting Consultant; Former Senior Accounting Policy Advisor, enabling them to draft or review an MD&A with confidence. Preparers of Exxon Mobil Corporation financial statements, partners of public accounting firms and their staff, George M. Wilson, Director, SEC Institute, a Division of PLI attorneys, general counsel, in-house counsel and corporate legal staff, investor relations professionals, and others involved in the preparation The FASB’s new lease accounting standard presents complex accounting, of SEC filings will take away valuable practical information and skills internal control, system and implementation challenges. In this interactive necessary to succeed in the current SEC reporting environment. Workshop, you will learn the conceptual underpinnings, overall structure, and details of this new standard as it applies to both lessees and lessors. Topics Include Implementation considerations, including issues being experienced by • Learn in detail the requirements and rules for each section of MD&A — different companies and industries, will be discussed in detail. Concepts results of operations, liquidity and capital resources, as well as relevant will be reinforced by working examples and a case study. This Workshop SEC interpretive releases is geared to financial reporting professionals who are involved in lease • Review good and bad examples of disclosures in each section accounting, review such accounting, or need to understand how lease accounting affects their financial reporting. In addition, professionals • Grapple with the most challenging issues within each section in other areas such as treasury, analysis and operations who need to • Understand when forward-looking information must be disclosed and understand how lease accounting changes will affect financial statements how to use the 1995 Private Securities Litigation Reform Act (PSLRA) will benefit from this Workshop. safe harbors • Review frequent SEC comments on MD&A, including quantified analysis Topics Include of changes, causal factors and cybersecurity • Key objectives and scope of the new standard, including the new • Understand the requirements of the contractual obligations table and definition of a lease for disclosing off-balance sheet arrangements • Analyzing issues such as substitution clauses and related specified • Effectively disclose critical accounting estimates and understand how asset questions they relate to critical audit matters • How to evaluate and account for contracts that may contain an • Learn lessons from SEC MD&A enforcement actions embedded lease • What to do now to be proactive with the SEC’s Disclosure • Dealing with lease and non-lease components in a contract Effectiveness initiative • How to measure the lease liability and right-of-use asset • Journal entries for the initial recording and subsequent measurement Prerequisites: SEC Reporting Skills Workshop for Financial of leases Professionals or SEC Reporting and Practice Skills Workshop for • The classification of leases as operating versus financing and Lawyers or experience with the SEC reporting process and use of the subsequent expense recognition Instructions to Forms, Regulation S-K, Financial Reporting Codification and Staff Accounting Bulletins. • Accounting for lease modifications • Presentation and disclosure requirements and practices Credit Available: CPE (NASBA), CLE and CPD • Lessor accounting Senior Program Attorney: Robin D. Goldstein • Implementation accounting challenges, including observations from early adopters San Francisco, November 15 • System implications and internal controls over financial reporting San Francisco, #250338 Program Fee: $1,195 Prerequisites: A background in financial reporting and accounting. Credit Available: CPE (NASBA) SEC Institute is not affiliated with the U.S. Securities and Exchange Commission. Note: Privileged Members will receive a 20% discount. Senior Program Attorney: Robin D. Goldstein Las Vegas, September 27 San Francisco, October 16 New York, October 31 Las Vegas, #253253 • San Francisco, #253254 • New York, #253255 Program Fee: $1,195

Please visit www.pli.edu for information regarding the Workshop Leader for a specific program location. SEC Institute is not affiliated with the U.S. Securities and Exchange Commission. Note: Privileged Members will receive a 20% discount.

22 | To Register/Order, Call 800.260.4754 | Table of Contents ACCOUNTING

Limited Space. Register Early! Form 20-F In-Depth Workshop 2019 SAVE THE DATES Workshop Leaders UPCOMING FORUMS! N. Adele Hogan, Partner, Hogan Law Associates Cheryl L. Linthicum, Professor of Accounting and former Associate Dean, SEC Institute’s Forums are designed to keep participants up to College of Business, The University of Texas at San Antonio date with the ever-changing world of accounting and SEC reporting. Expert faculty will discuss the latest developments at the SEC, FASB In this Workshop designed for lawyers and financial reporting and PCAOB, as well as significant changes happening in accounting professionals, our experienced Workshop leaders will use interactive and auditing. Forums are geared to SEC reporting professionals, lectures and examples to give participants the foundational knowledge including those involved in the preparation or review of financial and practical experience necessary to prepare and review the SEC’s statements, partners of public accounting firms and their staff, Foreign Private Issuer periodic and current reporting forms, including the lawyers and corporate legal staff, investor relations professionals, 20-F Annual Report and Form 6-K. Participants will build an understanding and audit committee members. of the structure and use of the SEC’s guidance and knowledge of the key disclosure issues in the SEC’s periodic and current reports. This Workshop is geared to beginners or as a refresher for lawyers and 15th Annual SEC Reporting & FASB Forum for financial reporting professionals. CFOs, controllers and their staff, internal Mid-sized & Smaller Companies auditors, partners of public accounting firms and their staff, attorneys, general counsel, in-house counsel, corporate legal staff, investor relations Co-Chairs professionals, and others involved in the preparation of SEC filings will Bob Laux, Associate Director, SEC Institute, a Division of PLI take away valuable practical information and skills necessary to succeed George M. Wilson, Director, SEC Institute, a Division of PLI in the current SEC reporting environment. Senior Program Attorney: Robin D. Goldstein Topics Include • Master Forms 20-F and 6-K Las Vegas, September 23-24 • Use all the important sources of SEC reporting rules and guidance Las Vegas, #250210 • Review changes from the SEC’s Disclosure Update and Program Fee: $1,595 Simplification Rule • Understand special SEC reporting issues for foreign private issuers, including MJDS registrants • Write an effective Operating and Financial Review and Prospects (MD&A) 35th Annual SEC Reporting & FASB Forum • Work with the SEC staff and understand their hot-button issues for Foreign Private Issuers, including frequent comment areas such as Co-Chairs non-GAAP measures, revenue recognition and segments Bob Laux, Associate Director, SEC Institute, a Division of PLI • Understand key issues for Foreign Private Issuers in the SEC’s domestic Cheryl L. Linthicum, Professor of Accounting and former registrant system (Forms 10-K, 10-Q and 8-K) Associate Dean, College of Business, The University of Texas at San Antonio (Dallas only) Prerequisites: We recommend some prior experience with the SEC reporting process and use of the Instructions to Forms and Regulations Senior Program Attorney: Robin D. Goldstein S-K and S-X. Dallas, November 11-12 Credit Available: CPE (NASBA), CLE and CPD San Francisco, December 2-3 Senior Program Attorney: Robin D. Goldstein New York & Live Webcast,* December 16-17 Dallas, #250214 • San Francisco, #250215 • New York, #250216 New York, December 12-13 Program Fee: $1,595 New York, #250335 Program Fee: $1,495 “Appreciate the depth of topics covered, while touching base SEC Institute is not affiliated with the U.S. Securities and Exchange Commission. enough to keep it interesting for all different types of accountants. Note: Privileged Members will receive a 20% discount. Helpful going into the new year.” – Kate Weber, Molson Coors Brewing Company

“Excellent program.” – Warren Barnes, The Hanover Insurance Group, Inc.

“This was a great program, and I appreciated the opportunity to participate via webcast, as traveling is not always possible.” – Adria Reed, Liberty Media

SEC Institute is not affiliated with the U.S. Securities and Exchange Commission. Forums are included in Privileged Membership.

Visit www.pli.edu for more information.

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 23 TAX

Basics of International Taxation 2019† International Tax Issues 2019 Chair Chair John L. Harrington, Dentons US LLP, Washington, DC Lowell D. Yoder, McDermott Will & Emery LLP, Chicago In a global business environment, transactions with customers and As the world’s economies grow increasingly integrated through trade, suppliers often transcend national borders, and investment and activities acquisitions and joint ventures, U.S. international tax laws impact a greater are frequently cross-border as well. An understanding of the U.S. percentage of businesses and transactions. These international tax rules international tax rules — especially after enactment of the 2017 Tax Act affect not only large U.S. and non-U.S.-based multinationals, but also — is of paramount importance to a wide variety of tax and corporate increasingly affect mid-sized and smaller organizations and investors, professionals. financing transactions, mergers and acquisitions, and other commercial This program will be led by international tax experts and focuses on activity. specific types of outbound and inbound investment and activities, and At this year’s program we will assemble some of the world’s leading their U.S. tax consequences. Each panel will focus upon the issues raised experts and senior government officials to discuss the complex rules of by inbound and outbound investments and describe how the new U.S. U.S. international taxation in light of the 2017 Tax Act. We will focus upon tax rules address the issues raised. In particular, each panel will focus both operational and transactional implications of these rules, and will upon how these rules impact financings, mergers, acquisitions and other describe the application of the rules to both U.S. and non-U.S.-based commercial activities. organizations and investors.

Topics Include Topics Include • How the changes made by the 2017 Tax Act affect choice of entity • Transfer pricing developments and transfer pricing’s role in new GILTI decisions for U.S. and foreign investors and FDII provisions • The new 100% dividend exemption for domestic corporations owning • The impact of OECD developments on BEPS, treaty developments and foreign corporations the new BEAT and hybrid provisions included in the 2017 Tax Act • Subpart F and global intangible low-taxed income (“GILTI”) rules, which • Cross-border merger and acquisition issues, techniques and cause U.S. shareholders in controlled foreign corporations (“CFCs”) to developments, including new Sections 245A, 367(a) and 965 be subject to immediate U.S. tax • Changes to the anti-deferral rules, foreign tax credits and FDII • Tax and reporting rules that apply to U.S. subsidiaries of • Dealing with international joint ventures, revisiting fund structures and foreign companies the new paradigm shift for the partnership form • Background, purpose and history of foreign tax credits Credit Available: CLE, CPD, CPE (NASBA), CFE (Fraud) and IRS-CE • The mechanics and significance of tax treaties • Overview of the reporting and withholding requirements in Senior Program Attorney: Stacey L. Greenblatt international transactions Chicago, September 4 • Recognizing passive foreign investment companies (“PFICs”) Chicago, #252123 Credit Available: CLE, CPD, CPE (NASBA) and IRS-CE Program Fee: $1,850; Chicago Course Handbook: #252125, $220 Senior Program Attorney: Stacey L. Greenblatt New York, Live Webcast* & Groupcast Locations, July 23-24 San Francisco & Live Webcast,* September 9-10 New York, #252156 • Atlanta, #266985 • Boston, #266986 • Cincinnati, #266987 • Cleveland, #266988 • Columbus, #266989 • Indianapolis, #267603 • Mechanicsburg, #267606 • New Brunswick, #266990 • Philadelphia, #267604 • Pittsburgh, #267605 • San Francisco, #252157 Program Fee: $1,895; Course Handbook: #252158, $220

“Great all around. Very user friendly to watch the web replay at multiple sittings.” – Patrick Cox, Baker McKenzie

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24 | To Register/Order, Call 800.260.4754 | Table of Contents TAX / BANKING

Tax Strategies for Corporate Acquisitions, FinTech 2019† Dispositions, Spin-Offs, Joint Ventures, Chair Financings, Reorganizations & K. Susan Grafton, Dechert LLP, Washington, DC Restructurings 2019 The financial services industry is changing rapidly. Technology is revolutionizing securities trading, transaction clearance and settlement, Co-Chairs and the provision of investment advice. This program will explore the legal William D. Alexander, Skadden, Arps, Slate, Meagher & Flom LLP, and compliance issues arising out of the explosive advances in financial Washington, DC technology, including crowdfunding, blockchain technology and the Eric Solomon, Washington, DC use of digital assets and the growth of robo-advisors, among others. FinTech 2019 will benefit in-house attorneys and outside counsel advising This three-day program will focus on the tax issues presented by the financial services industry on technology developments affecting the entire spectrum of modern major corporate transactions, from the industry. single-buyer acquisitions of a division or subsidiary to multi-party joint ventures, cross-border mergers, and complex acquisitions of public Topics Include companies with domestic and foreign operations, including spin-offs and • Legislative and regulatory initiatives affecting blockchain technology other dispositions of unwanted operations. and digital assets, including the Securities and Exchange Commission’s InHub and the Commodity Future Trading Commission’s LabCFTC, the Tax Strategies 2019 will be the most comprehensive and insightful Office of the Comptroller of the Currency’s proposed special purpose conference you could possibly attend on corporate tax. You will receive national bank charter for FinTech companies and the New York State the very latest information, strategies and practical insights available from Department of Financial Services’ BitLicense rules leading tax practitioners from law firms, accounting firms, corporations and academia from across the United States, along with policymakers • Update on crowdfunding and other capital raising from the IRS. • The proliferation of robo-advisors and the future of financial advice • SEC guidance relating to the use of financial technology for trading and EVOLVING TAX ISSUES IN COMPLEX M&A TRANSACTIONS other activities • Learn practical strategies and solutions • The expansion of blockchain technology • Keep up with cutting-edge issues by learning about the hottest topics in • Update on cybersecurity and privacy concerns raised by the increased corporate tax use of financial technologies • Gain insights from an outstanding faculty of more than fifty experts drawn from the government, private practice, corporations Credit Available: CLE, CPD, CPE (NASBA), IAPP (Privacy) CPE, and academia CFE (Fraud) and CCB (Compliance) CEUs • Participate in a discussion of audience-selected transactions during our Senior Program Attorney: Willis Goodmoore Corporate Transactions session • Hear about the most “Interesting Transactions of the Past Year” New York, Live Webcast* & Groupcast Locations, August 12 • Receive a complimentary electronic version of PLI’s number one best New York, #253838 • Atlanta, #267394 • Cleveland, #267426 • Indianapolis, seller, The Corporate Tax Practice Series: Strategies for Acquisitions, #267748 • Mechanicsburg, #267657 • New Brunswick, #267216 • Philadelphia, Dispositions, Spin-Offs, Joint Ventures, Financings, Reorganizations #267654 • Pittsburgh, #267655 & Restructurings Program Fee: $1,850; Course Handbook: #253843, $220

Topics Include • Impact of the 2017 Tax Act on corporate acquisitions and dispositions “This was the best CLE I have ever taken. Many thanks to all of the • Overview and strategies in representing sellers excellent panelists.” • Taxable transaction alternatives – Davis Tyner • Advanced transactional planning in private equity M&A • Understanding and managing stock basis and earnings and profits • Corporate tax strategies and techniques using partnerships and LLCs • Passthrough corporations — RICs, REITs and UpCs • Interesting corporate transactions of the past year • Balancing tax planning, advocacy, and professional ethics: the rules that every tax adviser should know

Credit Available: CLE, CPD, CPE (NASBA) and IRS-CE Senior Program Attorney: Stacey L. Greenblatt New York, The Roosevelt Hotel New York & Live Webcast,* October 16-18 Chicago, Hotel Allegro, November 13-15 Los Angeles, Intercontinental Los Angeles Century City, December 4-6 New York, #252167 • Chicago, #252168 • Los Angeles, #252169 Program Fee: $2,995; Three-Volume Course Handbook: #252170, $330

The Corporate Tax Practice Series: Strategies for Corporate Acquisitions, Dispositions, Spin-Offs, Joint Ventures, Financings, Reorganizations & Restructurings 2019: #27151, $3,195

The Corporate Tax Practice Series: Strategies for Corporate Acquisitions, Dispositions, Spin-Offs, Joint Ventures, Financings, Reorganizations & Restructurings 2019 on Flash Drive: #231421, $2,745

PLEASE NOTE: The program fee does not include hard copies of the 2019 edition of The Corporate Tax Practice Series. Attendees will receive a complimentary copy of the 2019 edition of The Corporate Tax Practice Series on a fully searchable Flash Drive, shipped directly to you as soon as it is available. Attendees will also receive a complimentary Conference Book containing speaker outlines and PowerPoint slides for reference at the program. Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 25 BANKING

New Developments in Securitization 2019 Banking Law Institute 2019† Chair Co-Chairs Sophie K. Cuthbertson, Cadwalader, Wickersham & Taft LLP, Lee A. Meyerson, Simpson Thacher & Bartlett LLP, New York City New York City William J. Sweet, Jr., Skadden, Arps, Slate, Meagher & Flom LLP, Washington, DC Traditional asset-backed securities markets, such as auto securitizations, commercial mortgage-backed securities, and credit card receivables, Every year, the Banking Law Institute reviews the year’s major legal continue with steady issuance volumes while new markets, such as and regulatory developments, offering seasoned analysis and practical marketplace lending, continue to develop. Other markets, such as takeaways from experienced faculty drawing from industry, private private-label residential mortgage-backed securities, continue to struggle. practice, and state and federal regulatory and enforcement offices. Join our expert faculty as they discuss key developments in the securities The agenda always features a blend of emerging and recurring legal and market, including the state of the markets, legislative and regulatory regulatory issues shaping banking law practice. In recent programs, the actions and initiatives, and anticipated market responses and innovations. faculty addressed notable developments in federal legislation, FinTech regulation, blockchain testing and implementation, and mergers & Topics Include acquisitions activity along with updates on consumer financial services • Financial regulatory, securitization and derivatives reform regulation and the latest concerns for foreign banking organizations. • Overview of the CFPB agenda As is the tradition with this program, the 2019 agenda will be sure to • Recent developments in structured finance include a timely mix of topics reflecting the evolution of the practice to • Credit risk retention rules — implementation and interpretation issues date, as well as a glimpse of where it may trend.

Credit Available: CLE, CPD and CPE (NASBA) Topics Include Program Attorney: Justin Capuano • M&A deal activity review and outlook • The latest regulatory developments along with agency perspectives New York, Live Webcast* & Groupcast Locations, November 6 • FinTech overview — regulatory and industry developments New York, #252414 • Atlanta, #267553 • Boston, #266879 • Cleveland, #267556 • Consumer financial services update — federal and state enforcement • Indianapolis, #267807 • Mechanicsburg, #267649 • New Brunswick, #266885 • Foreign banking organizations • Philadelphia, #267647 • Pittsburgh, #267648 Program Fee: $1,850; Course Handbook: #252415, $220 Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) Program Attorney: Stephanie N. Figueroa New York, Live Webcast* & Groupcast Locations, November 12 New York, #252928 • Atlanta, #267230 • Cleveland, #267229 • Columbus, #267228 • Nashville, #267231 • New Brunswick, #267227 Program Fee: $1,995; Course Handbook: #252933, $220

“The speakers were excellent and the topics up-to-the-minute.” – Kevin Shea, Vorys Sater Seymour & Pease LLP

The Leader in GLOBAL LEGAL EDUCATION Explore our new UK Centre for Legal Education site and take advantage of our live and On-Demand PLI programs.

Discover what’s trending and browse the practice areas of banking and finance, mergers and acquisitions, and tax.

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26 | To Register/Order, Call 800.260.4754 | Table of Contents BANKRUPTCY AND RESTRUCTURING / MUNICIPAL LAW

Nuts and Bolts of Corporate Bankruptcy 19th Annual Municipal Law Institute† † 2019 Co-Chairs Co-Chairs Martha J. Mullen, Senior Assistant Attorney General, Office of the Attorney General for the District of Columbia, Washington, DC Evan C. Hollander, Orrick, Herrington & Sutcliffe LLP, New York City June A. Witterschein, Director of Professional Development, New York City David B. Shemano, ShemanoLaw, Los Angeles Law Department, New York City Businesses in financial distress are not an unusual sight these days, The Annual Municipal Law Institute provides attendees with analysis and as a result, it is essential for attorneys of all levels and in all practice of important developments, emerging legal issues, and best practices areas to become familiar with the fundamental tenets of bankruptcy law. for local government lawyers. This year’s program will explore important Whether you are just starting out in your career, thinking about broadening issues and developments in crucial areas of municipal law. Program faculty your practice area to include this field, or want to be able to spot the will discuss significant and evolving issues such as affirmative litigation issues when advising your clients, this program will provide you with by cities, where the city acts as a commercial actor and/or governmental an essential foundation. Hear from a prominent faculty of experts who actor; juvenile justice reforms and trends; ethical issues for municipal will arm you with the practice tips and basic concepts every bankruptcy lawyers; and significant Supreme Court decisions from this Term that may attorney needs. Learn how to guide your clients through this complicated affect municipalities. Regardless of experience level, lawyers practicing process, and find out what questions to ask your clients. Learn when it is in a city law department, as well as attorneys representing city agencies, time for a distressed company to consider bankruptcy and discover when commissions, or employees, will benefit from this program. reorganization is an option. This course is perfect for attorneys who want to learn or re-learn how to counsel their clients on bankruptcy issues in the Topics Include most effective manner. • The city as plaintiff: protecting city interests and affirmative litigation by municipal law departments Topics Include • Overview of the bankruptcy system - Inter-governmental disputes such as litigation about the 2020 census and next steps • Options available to a financially troubled company - Public health and commercial disputes, including discussion • The timeline for bankruptcy filings and steps involved of opioid litigation • The Chapter 11 plan: drafting, solicitation and confirmation • Juvenile justice systems, reforms and trends • Legal ethics requirements of bankruptcy professionals • Ethics for local government lawyers Special Feature • Supreme Court update for municipal lawyers • Earn one hour of Ethics credit Credit Available: CLE and CPD Credit Available: CLE, CPD and CPE (NASBA) Program Attorney: Ilizabeth Hempstead Senior Program Attorney: Grace O’Hanlon New York, Live Webcast* & Groupcast Locations, July 29 New York, Live Webcast* & Groupcast Locations, December 2-3 New York, #251964 • Atlanta, #267189 • Columbus, #267190 • Indianapolis, #267607 New York, #253572 • Atlanta, #267003 • Nashville, #267004 • New Brunswick, #266863 Program Fee: $1,095; Course Handbook: #251965, $110 Program Fee: $1,895; Course Handbook: #253577, $220 “Terrific job. The course was informative and enjoyable. Presenters were all great. Thank you.” – Nelson Aviles, NYC Department of Finance

“Outstanding program.” – David Watson, Duane Morris LLP

“Great presentation.” – Daniel Brownell, NYC Business Integrity Commission

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 27 EMPLOYMENT AND LABOR LAW

Corporate Whistleblowing in 2019† Cutting-Edge Employment Law Issues 2019: † Chair The California Difference Michael Delikat, Orrick, Herrington & Sutcliffe LLP, New York City Co-Chairs This program will offer expert insights into recent whistleblower Laura Ho, Goldstein, Borgen, Dardarian & Ho, Oakland, CA developments that have shaped the current risk landscape in this rapidly Timothy J. Long, Orrick, Herrington & Sutcliffe LLP, Sacramento and evolving area. Leading whistleblower law experts, including current and Los Angeles former regulators, will provide in-depth perspectives on recent regulatory PLI’s Cutting-Edge Employment Law Issues 2019 addresses the issues and legal developments, including the current and future direction of the confronted by employment law advisers, litigators and human resources federal whistleblower bounty and protection programs; what to expect in management and professionals, with particular emphasis on California regulatory enforcement developments in the coming year; best practices State law considerations. This program combines a comprehensive in responding to whistleblower reports; and key ethical considerations in review of case law and regulatory developments, an in-depth analysis of conducting internal investigations of issues raised by whistleblowers. emerging issues, and practical guidance about best practices to maximize This program will also examine in detail how the enforcement of the employment law compliance, mitigate legal risk and achieve business relevant whistleblower laws has changed under the current administration. objectives. Topics Include The program is designed for professionals who seek an in-depth analysis • Current priorities and agendas of the SEC, CFTC, and Department of and discussion of often subtle and rapidly evolving issues in employment Labor’s whistleblower programs law compliance. Plaintiff and management attorneys, in-house counsel, • Trends and issues the private plaintiffs’ whistleblower bar are seeing compliance officials, human resources executives, and government • Practical strategies: trying a Sarbanes-Oxley whistleblower case enforcement agency staff will all benefit from this program. to a jury Topics Include Special Feature • Year-in-Review: a summary of important United States and California • Convenient half-day program format Supreme Court and federal and state appellate case law developments • Pay equity and fair pay considerations unique to law firm practice Credit Available: CLE, CPD, CPE (NASBA), CFE (Fraud), • Key developments in California wage and hour law CCB (Compliance) CEUs and HRCI/SHRM • Federal and California trends in systemic discrimination claims Senior Program Attorney: Seema Lal Meehan • The latest developments in class, collective and PAGA cases • #MeToo in 2019 New York, Live Webcast* & Groupcast Locations, July 16, 1:30 – 5:15 p.m. ET Special Features New York, #254290 • Atlanta, #257673 • Boston, #257672 • Cleveland, #267040 • Network with faculty and colleagues at a special roundtable luncheon • Columbus, #267041 • Indianapolis, #257671 • Nashville, #257670 • Earn Elimination of Bias and Ethics credit Program Fee: $895; Course Handbook: #254291, $220 Credit Available: CLE, CPD and HRCI/SHRM Just Scheduled! Program Attorney: Laxmi Rees San Francisco & Live Webcast,* September 25 Workplace Accommodation and Leave San Francisco, #254296 Challenges 2019 Program Fee: $1,850; Course Handbook: #254297, $220 Co-Chairs “Content was all excellent. A great overview of cases from the past year as Amy L. Bess, Vedder Price P.C., Washington, DC well as relevant, timely topics.” Sara Elder, North Park University, Chicago – Andrew Green, Eastman Chemical Company Leaves of absence and workplace accommodation matters pose complex legal, regulatory, policy, and cultural challenges for both employers and employees. Meeting the challenges posed by these issues involves a delicate balance of legal, safety, and employee relations considerations. This half-day program’s goal will be to define and refine the legal framework from which pragmatic solutions can emerge. Seasoned in-house employment and labor counsel, outside counsel for employees and employers, and HR professionals who are looking for in-depth analyses of the ADA, FMLA, and compliance-related requirements will benefit from this program. Presenters will assume that attendees already possess an understanding of the legal frameworks of both laws.

Topics Include • Employment challenges relating to behavioral and mental health accommodations under the ADA • The legal and practical frameworks for managing substance abuse issues in the workplace under the ADA and FMLA • Accommodating the use of medical marijuana in the workplace • EEOC enforcement trends under the ADA and proactive steps to reduce risk • Common pitfalls in administering the FMLA and how to avoid them Credit Available: CLE, CPD and HRCI/SHRM Senior Program Attorney: Danielle B. Cohen New York & Live Webcast,* November 6, 1:30 – 5:00 p.m. ET New York, #273534 — Program Fee: $895; Course Handbook: #273535, $60

28 | To Register/Order, Call 800.260.4754 | Table of Contents EMPLOYMENT AND LABOR LAW / ERISA AND EMPLOYEE BENEFITS

Employment Law Institute 2019† ERISA 2019: The Evolving World Co-Chairs Co-Chairs Amy L. Bess, Vedder Price P.C., Washington, DC Erin K. Cho, Groom Law Group, Washington, DC Jill L. Rosenberg, Orrick, Herrington & Sutcliffe LLP, New York City William E. Ryan III, Newport Trust Company, New York City This two-day event offers a comprehensive review of case law and This popular two-day program is a must for ERISA and benefits regulatory developments, an in-depth analysis of emerging issues, and practitioners. Our experienced faculty of leading ERISA attorneys will best practices, designed to maximize employment law compliance, discuss a broad array of topics, including regulatory updates, evolving mitigate legal risk and achieve business objectives. The faculty is trends in the offering of investment products and services, the latest comprised of nationally recognized management and plaintiffs’ attorneys, issues affecting both financial institutions and plan sponsors, priorities members of the judiciary, in-house counsel and government enforcement affecting health and welfare plans, trends in asset management, updates agency officials who share their perspectives, insights and experiences. on ERISA litigation and DOL enforcement priorities as well as issues This program is designed for private practitioners, in-house counsel, and relating to pension de-risking and corporate transactions. human resources and other business professionals who seek an in-depth This program is appropriate for attorneys, human resources practitioners, analysis and discussion of often subtle and rapidly evolving issues arising and other professionals who work in the areas of employee benefits and in employment law. retirement plan services.

Topics Include Topics Include • The important federal and state case law and regulatory developments • Review regulatory updates that took place in the past year • Explore issues affecting financial institutions and other service providers • #MeToo 2.0 • Address priorities affecting health and welfare plans • New directions in labor law • Learn about trends in asset management • “Need to know” wage and hour developments • Understand the legal risks affecting plan sponsors • Leaves of absence and workplace accommodation: • Get the latest tips on M&A transactional practice, litigation and your difficult questions answered DOL enforcement • Equal pay and pay equity issues in employment law • Examine pension de-risking • Gender identity and expression in the workplace • Litigating retaliation and whistleblower claims Special Feature • The use of social media in employment litigation • Earn up to 1.5 hours of Ethics credit • Views from the Bench: litigation pitfalls for employment lawyers Credit Available: CLE, CPD, CPE (NASBA) and HRCI/SHRM Special Features Senior Program Attorney: Danielle B. Cohen • Earn one full hour of Ethics credit New York, Live Webcast* & Groupcast Locations, August 5-6 • Satisfy your Diversity and Inclusion/Elimination of Bias credit requirements New York, #252935 • Atlanta, #267243 • Boston, #266877 • Cleveland, #267245 • All-new panels: “Cannabis in the Workplace”; “Generational Bias: • Columbus, #267244 • Indianapolis, #268205 • Mechanicsburg, #268204 • New Brunswick, #266878 • Philadelphia, #268202 • Pittsburgh, #268203 The New Wave” Program Fee: $1,895; Course Handbook: #252936, $220 Credit Available: CLE, CPD and HRCI/SHRM Senior Program Attorney: Danielle B. Cohen “Extremely topical and well presented.” – Patrick Kennedy, Cigna Corp New York, Live Webcast* & Groupcast Locations, October 15-16 New York, #254302 • Atlanta, #267246 • Indianapolis, #268212 “The Ethics discussion was the best ethics presentation focused • New Brunswick, #266881 specifically on the ERISA practice that I have ever attended.” Program Fee: $1,895; Course Handbook: #254303, $220 – Douglas Heffernan, Faegre Baker Daniels

“Relevant current content.” – Mary Hoene, Carter Ledyard & Milburn

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 29 REAL ESTATE

21st Annual Commercial Real Estate Building Better Construction Contracts Institute† 2019† Co-Chairs Chair Elliot L. Hurwitz, Chief Commercial Counsel, Chicago Title Insurance Patrick M. Miller, Faegre Baker Daniels LLP, Chicago Company, New York City (New York only) Josh M. Leavitt, Much Shelist, P.C., Chicago (Chicago only) Negotiating and drafting design and construction contracts that clearly Richard C. Mallory, Allen Matkins Leck Gamble Mallory & Natsis LLP, define responsibilities and intelligently allocate risks is an art. The design San Francisco (San Francisco only) and construction process is risky and proper risk identification and Christine A. McGuinness, Schiff Hardin LLP, New York City (Chicago only) allocation is critical to the success of any project. Understanding recent changes to the AIA contract documents is critical to representing your Improving the skills of identifying, appreciating and weighing your client’s clients’ interests. leverage in negotiating the commercial real estate fundamentals will be Attend this program to learn critical contract provisions, including which the focus of this year’s Institute. Practitioners with this understanding will work and when to employ them as well as when to avoid them. find it easier to achieve and maintain a viable real estate practice where advice adds value. This program helps practicing attorneys enhance Our faculty of experts will give you the tools you need to better negotiate those abilities while performing traditional transactional skills, and while and draft design and construction agreements. developing workout and enforcement skills, so that they can help their clients take advantage of their leverage and regain any lost footing Topics Include more quickly. We encourage real estate attorneys; real estate and hotel • The latest developments from AIA and other industry association investment bankers, lenders and brokers; real estate and hotel general contract document publishers counsel and senior business executives; hotel asset managers, acquisition • How to identify and negotiate critical risk allocation provisions in design managers, and investment advisers; and other real estate and hotel and construction contracts advisers and consultants to sign up and join us. • Special contracting and risk allocation considerations on public projects

Topics Include Special Feature • Negotiating purchases and sales • Earn one hour of Ethics credit • Closing complex commercial transactions Credit Available: CLE, CPD and CPE (NASBA) • Identifying whether your lender is overly cautious and finding the right lending balance Program Attorney: Victoria Kennedy • Achieving the best title coverage available for the dollar in a New York, Live Webcast* & Groupcast Locations, December 13 consolidating industry • How to avoid real estate litigation New York, #252350 • Atlanta, #266965 • Cleveland, #266966 • Columbus, #266964 • Indianapolis, #267853 • Nashville, #266939 • Land use and environmental issues affecting real estate deals • New Brunswick, #266938 • Construction issues facing deals Program Fee: $1,850; Course Handbook: #252351, $220 and much more practical advice from experienced attorneys in the nation’s leading law firms!

Special Feature • Earn Ethics and Skills credit

Credit Available: CLE, CPD and CPE (NASBA) Program Attorney: Victoria Kennedy Chicago, October 23-24 San Francisco & Live Webcast,* November 7-8 New York, Live Webcast* & Groupcast Locations, November 18-19 Chicago, #253262 • San Francisco, #253263 • New York, #253264 • Atlanta, #266971 • Indianapolis, #267851 • Nashville, #266937 • New Brunswick, #266936 Program Fee: $1,895; Course Handbook: #253265, $220

“Very beneficial presentations even for this experienced real property attorney!” – Kenneth Fishbach, Chevron Corp

“Terrific as usual.” – Hugo Arza, Holland & Knight LLP

“Very pleased with this CLE. Both the presentation and the materials were first rate, and quite useful.” – Rhys Farren, Davis Wright Tremaine LLP

30 | To Register/Order, Call 800.260.4754 | Table of Contents PROFESSIONAL SKILLS / LAW PRACTICE MANAGEMENT

Writing for Litigators 2019† Women Lawyers in Leadership 2019 Instructor Chair Hon. Gerald Lebovits, New York State Supreme Court; Adjunct Professor, Jayne A. Goldstein, Shepherd Finkelman Miller & Shah LLP, Columbia Law School, Fordham University School of Law & Fort Lauderdale, FL New York University School of Law, New York City Although the glass ceiling has cracks, there are still obstacles to its Good writing skills are one of a handful of skills necessary to success in complete shatter. More women are needed in leadership positions in the practice of law. Writing for Litigators 2019 will teach you the secrets the legal profession. Despite equal numbers of women entering the of successful, persuasive legal writing, whether you are writing for judges, legal profession, female attorneys still lag in equity partnerships and partners, or clients. This program will be beneficial for both new and leadership positions. Additionally, women attorneys frequently face unique experienced litigators who want to improve their legal writing skills. institutional hurdles. Join our informative conversation and hear from our panel of women attorneys who have successfully broken through. Topics Include This program will benefit women attorneys wanting to take their career up • Getting started: planning your document and getting it done a notch and strive for leadership positions to gain a competitive edge in • How to make your writing precise, powerful, and persuasive this fast-moving field. • Legal writing dos and don’ts; how to handle legal writing controversies Topics Include • The elements of a brief: facts, argument, citing, and footnotes • Learn strategies for women lawyers to obtain and excel in lead or • What judges like and dislike in legal writing co-lead counsel positions Credit Available: CLE and CPD • Explore strategies for overcoming unconscious bias towards women in the law Senior Program Attorney: Janet L. Siegel • Discover ways to plan your career track whether you are striving for law New York, Live Webcast* & Groupcast Locations, July 8, firm partnership or another leadership role 2:00 – 5:15 p.m. ET • Take advantage of opportunities to increase your visibility in law firms and other legal organizations New York, #248042 • Atlanta, #267204 • Cleveland, #267203 • Columbus, #267202 • Indianapolis, #267642 • Nashville, #266924 • Participate in a discussion about the unique challenges faced by women attorneys in the workplace and in the courtroom Program Fee: $695 • Hear leadership techniques for women attorneys from various perspectives, including plaintiff and defense attorneys and in-house counsel

Credit Available: CLE and CPD Program Attorney: Dana M. Berman Full scholarships, registration fee waivers, and discounts to New York, Live Webcast* & Groupcast Locations, September 12 attend PLI programs are widely available to pro bono, nonprofit, New York, #250385 • Atlanta, #267026 • Indianapolis, #267849 and legal services attorneys, as well as others who qualify for • New Brunswick, #266860 scholarship assistance. Please visit learning.pli.edu/scholarship Program Fee: $1,850; Course Handbook: #250391, $220 for additional details and to complete our brief application. “The advice provided by the panel was spot on and exactly what I needed to hear as a female attorney. They gave specific and tangible information that is already bettering the quality of my professional life and work-life harmony. So glad that I took this CLE.” – Elizabeth Goueti, Pearson Education Inc.

“I was so favorably impressed by this. I’m going to tell all my female colleagues about it.” – Margret M. Caruso, Quinn Emanuel Urquhart & Sullivan, LLP

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 31 CALENDAR OF EVENTS | JULY – DECEMBER 2019

31 19 JULY Serving on a Nonprofit Board 2019: Practical SEPTEMBER Government Contracts 2019 8 and Ethical Considerations for Attorneys 4 Washington, DC, Page 8 New York & Live Webcast, Page 59 Fundamentals of Copyright Law in the International Tax Issues 2019 New York Housing Law for the Low-Income Data Era 2019 Chicago, Page 24 Client 2019 San Francisco & Live Webcast, Page 34 Storming the Gatekeepers: When Compliance New York & Live Webcast, Page 60 Fundamentals of Investment Adviser AUGUST Officers and In-House Lawyers Are at Risk 2019 20 Regulation 2019 New York; Atlanta, Boston, Cleveland, Columbus, Bridge-the-Gap I: Ethics and Skills for Newly New York; Atlanta, Cleveland, Mechanicsburg, 1 Indianapolis, Mechanicsburg, Nashville, Admitted New York Attorneys 2019 New Brunswick, Philadelphia and Pittsburgh 21st Annual Supreme Court Review: New Brunswick, Philadelphia and Pittsburgh New York & Live Webcast (Ethics segment only), Groupcast Locations & Live Webcast, Page 2 October 2018 Term Groupcast Locations & Live Webcast, Page 5 Page 55 New York; Atlanta, Boston, Cincinnati, Cleveland, Writing for Litigators 2019 5 23-24 New York; Atlanta, Cleveland, Columbus, Indianapolis and Nashville Groupcast Locations & Electronic Discovery Nuts & Bolts 2019 Live Webcast, Page 47 15th Annual SEC Reporting & FASB Forum for Indianapolis and Nashville Groupcast Locations & New York; Cincinnati, Cleveland, Columbus, Mid-sized & Smaller Companies Live Webcast, Page 31 2 Nashville and New Brunswick Groupcast Locations Las Vegas, Page 23 Bridge-the-Gap: Professional Practice for Newly & Live Webcast, Page 48 9 Intellectual Property Law Institute 2019 Fundamentals of Trademark Law in the Global Admitted Attorneys 2019 5-6 New York & Live Webcast, Page 55 New York; Atlanta and New Brunswick Groupcast Marketplace 2019 Corporate Political Activities 2019: Complying Locations & Live Webcast, Page 36 San Francisco & Live Webcast, Page 34 5 with Campaign Finance, Lobbying and Ethics Laws Outsourcing 2019: ITO, BPO and Cloud Representing the Pro Bono Client: New York Alternative Finance Summit 2019: Marketplace Chicago, Page 9 Public Assistance and Food Stamp Eligibility Lending, Cryptocurrency and Crowdfunding Washington, DC, Page 5 Pocket MBA 2019: Finance for Lawyers and 2019 New York; Atlanta, Boston and Cleveland 9 Other Professionals New York & Live Webcast, Page 58 Groupcast Locations & Live Webcast, Page 4 Global Asset Management 2019 San Francisco & Live Webcast, Page 9 9-12 5-6 New York; Atlanta, Mechanicsburg, Nashville, Patent Office Exam Course 2019 ERISA 2019: The Evolving World Philadelphia and Pittsburgh Groupcast Locations & 25 Boston, Page 41 New York; Atlanta, Boston, Cleveland, Columbus, Live Webcast, Page 6 Cutting-Edge Employment Law Issues 2019: Indianapolis, Mechanicsburg, New Brunswick, Implementing the FASB’s New Financial The California Difference 10-11 Philadelphia and Pittsburgh Groupcast Locations & San Francisco & Live Webcast, Page 28 Advanced Patent Prosecution Workshop 2019: Instrument Standard on Credit Losses (CECL) Live Webcast, Page 29 Claim Drafting & Amendment Writing Workshop 2019 White Collar Crime 2019: Prosecutors and New York, Page 41 6 New York, Page 21 Regulators Speak New York; Columbus and New Brunswick The Attorney-Client Privilege and Internal 9-10 12 Groupcast Locations & Live Webcast, Page 49 Investigations 2019 Basics of International Taxation 2019 22nd Annual Children’s Law Institute New York; Atlanta, Columbus and Nashville New York; Atlanta and Cincinnati Groupcast San Francisco & Live Webcast, Page 24 25-26 Groupcast Locations & Live Webcast, Page 56 Implementing the FASB/IASB New Revenue Locations & Live Webcast, Page 58 10 Recognition Standard Workshop 2019 Ethics and Conflicts of Interest in Law Practice Hedge Fund Management 2019 15-16 Las Vegas, Page 20 2019 New York; Atlanta, Mechanicsburg, Philadelphia Twentieth Annual Private Equity Forum New York; Atlanta and Nashville Groupcast and Pittsburgh Groupcast Locations & 26 New York; Atlanta, Boston, Cleveland, Locations & Live Webcast, Page 56 Mechanicsburg, Philadelphia and Pittsburgh Live Webcast, Page 6 Blockchain 2.0: 2019 Legal & Regulatory Groupcast Locations & Live Webcast, Page 2 7 Securities Arbitration 2019 Developments Bridge-the-Gap II: Ethics and Skills for Newly New York; Atlanta, Boston, Cleveland, Indianapolis, New York; Atlanta, Cincinnati, Cleveland, Columbus 16 Admitted New York Attorneys 2019 Mechanicsburg, New Brunswick, Philadelphia and and Indianapolis Groupcast Locations & Corporate Whistleblowing in 2019 New York & Live Webcast (Ethics Segment only), Pittsburgh Groupcast Locations & Live Webcast, Live Webcast, Page 37 New York; Atlanta, Boston, Cleveland, Columbus, Page 56 Page 48 Indianapolis and Nashville Groupcast Locations & 27 Live Webcast, Page 28 Reentry in California – Overcoming Legal 11 Environmental Regulation 2019: Hot Topics, Barriers to Community Reintegration 2019 Bankruptcy Basics for Low-Income Clients 2019 Regulatory Compliance, and Practical Guidance 17 San Francisco & Live Webcast, Page 59 San Francisco & Live Webcast, Page 60 for Corporate Compliance Negotiation Workshop for Lawyers 2019 New York; Atlanta and New Brunswick Groupcast 8 New York, Page 47 Hot Issues in Executive Compensation 2019 Locations & Live Webcast, Page 54 Intimate Partner Violence and Technology New York; Atlanta, Boston, Cleveland and 17-19 Abuse 2019: Representing the Legal Services Columbus Groupcast Locations & Live Webcast, Hot Topics in Mergers & Acquisitions 2019 Patent Fundamentals Bootcamp 2019: Client in the New York State Courts Page 7 New York; Atlanta, Boston, Cleveland and Nashville An Introduction to Patent Drafting, Prosecution, New York & Live Webcast, Page 59 Groupcast Locations & Live Webcast, Page 7 Hot Topics in Mergers & Acquisitions 2019 and Litigation Implementing the FASB’s New Lease San Francisco, Page 42 12 Chicago, Page 7 FinTech 2019 Accounting Standard Workshop 2019 18-19 New York; Atlanta, Cleveland, Indianapolis, USPTO Post-Grant Patent Trials 2019: Las Vegas, Page 22 New Challenges & Tactics Compliance & Ethics Essentials 2019 Mechanicsburg, New Brunswick, Philadelphia and Representing the Pro Bono Client: Advocacy New York; Atlanta, Cleveland, Columbus, Nashville Pittsburgh Groupcast Locations & Live Webcast, New York; Atlanta, Indianapolis, Mechanicsburg, New Brunswick, Philadelphia and Pittsburgh Skills for Administrative Hearings 2019 and New Brunswick Groupcast Locations & Page 25 San Francisco & Live Webcast, Page 61 Live Webcast, Page 3 Groupcast Locations & Live Webcast, Page 42 13 Understanding the Securities Laws 2019 Ethics in Banking and Financial Services 2019 12 New York; Atlanta, Boston, Mechanicsburg, New York; Atlanta, Columbus, Cincinnati, Ethical Issues in California Pro Bono Philadelphia and Pittsburgh Groupcast Locations & Indianapolis and Nashville Groupcast Locations & Representation 2019 OCTOBER San Francisco & Live Webcast, Page 60 Live Webcast, Page 3 Live Webcast, Page 57 1 Women Lawyers in Leadership 2019 22 14 Hedge Fund and Private Equity Enforcement & New York; Atlanta, Indianapolis and New Brunswick Fundamentals of Broker-Dealer Regulation 2019 Accounting for Business Combinations Regulatory Developments 2019 Groupcast Locations & Live Webcast, Page 31 New York; Atlanta, Boston, Mechanicsburg, Workshop 2019 New York; Atlanta, Boston, Indianapolis, New Brunswick, Philadelphia and Pittsburgh New York, Page 19 12-13 Mechanicsburg, New Brunswick, Philadelphia and Groupcast Locations & Live Webcast, Page 4 Advertising Law Institute 2019 Pittsburgh Groupcast Locations & Live Webcast, 15-16 Chicago, Page 35 Page 10 23-24 Advanced Patent Prosecution Workshop 2019: Basics of Accounting for Lawyers 2019: Claim Drafting & Amendment Writing SEC Reporting and Practice Skills Workshop for Open Source Software 2019 – From Compliance What Every Practicing Lawyer Needs to Know San Francisco, Page 41 Lawyers 2019 to Cooperation San Francisco & Live Webcast, Page 18 Dallas, Page 8 San Francisco & Live Webcast, Page 37 SEC Reporting Skills Workshop for Financial Basics of International Taxation 2019 Professionals 2019 13 2 New York; Atlanta, Boston, Cincinnati, Cleveland, New York, Page 19 Advanced Patent Licensing 2019 California Special Education Law 2019 Columbus, Indianapolis, Mechanicsburg, San Francisco & Live Webcast, Page 43 San Francisco & Live Webcast, Page 61 19-20 New Brunswick, Philadelphia and Pittsburgh Consumer Bankruptcy Cases 2019 Groupcast Locations & Live Webcast, Page 24 SEC Reporting Skills Workshop for Financial Cybersecurity 2019: Managing Cybersecurity Professionals 2019 Incidents New York & Live Webcast, Page 61 23-26 Dallas, Page 19 New York; Atlanta, Cincinnati, Cleveland, 2-5 Patent Office Exam Course 2019 Columbus, Indianapolis and New Brunswick Patent Office Exam Course 2019 Chicago, Page 41 21 Groupcast Locations & Live Webcast, Page 36 Implementing the FASB’s New Hedge New York, Page 41 25 Accounting Standard Workshop 2019: 16-17 3 Defending Immigration Removal A Simplified and Practical Approach to 50th Annual Estate Planning Institute Corporate Political Law Compliance 2019 Proceedings 2019 Hedge Accounting New York; Atlanta and New Brunswick Groupcast San Francisco & Live Webcast, Page 5 New York & Live Webcast, Page 59 Dallas, Page 20 Locations & Live Webcast, Page 55 3-4 26 22-23 Form 10-K In-Depth Workshop 2019 SEC Reporting Skills Workshop for Financial Internet of Things 2019: Everything Is Connected Implementing the FASB/IASB New Revenue New York, Page 21 Professionals 2019 New York; Atlanta, Indianapolis and New Brunswick Recognition Standard Workshop 2019 18 New York, Page 19 Groupcast Locations & Live Webcast, Page 35 Dallas, Page 20 Hot Topics in Electronic Discovery 2019: What 7 29 26-27 Corporate and Outside Counsel Need to Know Think Like a Lawyer, Talk Like a Geek 2019: 19th Annual Municipal Law Institute SEC Reporting Skills Workshop for Financial New York; Atlanta, Cincinnati, Cleveland, Nashville Get Fluent in Technology New York; Atlanta, Columbus and Indianapolis Professionals 2019 and New Brunswick Groupcast Locations & New York; Atlanta, Cleveland, Columbus, Groupcast Locations & Live Webcast, Page 27 San Francisco, Page 19 Live Webcast, Page 49 Indianapolis, Mechanicsburg, New Brunswick, 30 Representing Children in Immigration Matters Philadelphia and Pittsburgh Groupcast Locations & Bridge-the-Gap I: Ethics and Skills for Newly 2019: Effective Advocacy and Best Practices Live Webcast, Page 38 Admitted New York Attorneys 2019 New York & Live Webcast, Page 60 Trade Secrets 2019: What Every Lawyer New York & Live Webcast (Ethics segment only), 18-19 Should Know Page 55 Understanding the Securities Laws 2019 San Francisco & Live Webcast, Page 38 Chicago, Page 3

32 | To Register/Order, Call 800.260.4754 | Table of Contents JULY – DECEMBER 2019 | CALENDAR OF EVENTS

10 Understanding the Intellectual Property License 12 4-5 Broker/Dealer Regulation and Enforcement 2019 2019 Banking Law Institute 2019 52nd Annual Immigration & Naturalization New York; Atlanta Groupcast Location & Chicago, Page 39 New York; Atlanta, Cleveland, Columbus, Nashville Institute Live Webcast, Page 10 and New Brunswick Groupcast Locations & New York; Atlanta and Columbus Groupcast 25 Live Webcast, Page 26 Locations & Live Webcast, Page 54 Global Data Protection Boot Camp 2019 Securities Offerings 2019: A Public Offering from San Francisco & Live Webcast, Page 45 Start to Finish 13 4-6 Life Sciences 2019: Navigating Legal Challenges New York; Atlanta, Boston, Cleveland and The Law and Business of Open Source Tax Strategies for Corporate Acquisitions, in the Drug and Device Industries New Brunswick Groupcast Locations & Software 2019 Dispositions, Spin-Offs, Joint Ventures, New York; Atlanta, Boston, Cleveland, Indianapolis, Live Webcast, Page 13 New York; Atlanta, Cleveland, Indianapolis, Financings, Reorganizations & Restructurings Mechanicsburg, Philadelphia and Pittsburgh Mechanicsburg, New Brunswick, Philadelphia and “Technotainment” 2019: Distributing Content 2019 Groupcast Locations & Live Webcast, Page 40 Los Angeles, Page 25 Pittsburgh Groupcast Locations & Live Webcast, Across Multiple Platforms Page 52 New York; Atlanta Groupcast Location & 13-14 5-6 11 Live Webcast, Page 39 Patent Litigation 2019: Advanced Techniques & Understanding the Intellectual Property The Ethics of Electronic Information 2019: 28 Best Practices License 2019 New York; Atlanta, Columbus and New Brunswick San Francisco & Live Webcast, Page 39 Competence, Confidentiality, and Other Online Platforms 2019: Hot Topics in Liability & Groupcast Locations & Live Webcast, Page 43 Ethical Conundrums Social Responsibility 6 New York; Atlanta, Cincinnati, Cleveland, San Francisco & Live Webcast, Page 40 13-15 Implementing the FASB’s New Hedge Columbus, Indianapolis and Nashville Groupcast Tax Strategies for Corporate Acquisitions, Accounting Standard Workshop 2019: Locations & Live Webcast, Page 57 28-29 Advanced Compliance and Ethics Workshop Dispositions, Spin-Offs, Joint Ventures, A Simplified and Practical Approach to

15 2019 Financings, Reorganizations & Restructurings Hedge Accounting Cybersecurity 2019: Managing Cybersecurity New York; Atlanta, Cleveland, Columbus, 2019 New York, Page 20 Chicago, Page 25 Incidents Indianapolis, Mechanicsburg, Philadelphia and Nuts and Bolts of Medicare and Medicaid 2019 San Francisco, Page 36 Pittsburgh Groupcast Locations & Live Webcast, 14 New York; Atlanta, Cleveland and Columbus 15-16 Page 18 Implementing the FASB’s New Financial Groupcast Locations & Live Webcast, Page 52 Employment Law Institute 2019 29 Instrument Standard on Credit Losses (CECL) 9

New York; Atlanta, Indianapolis and New Brunswick Advanced Venture Capital 2019 Workshop 2019 Trial Evidence 2019 Groupcast Locations & Live Webcast, Page 29 San Francisco & Live Webcast, Page 13 San Francisco, Page 21 New York & Live Webcast, Page 50 Patent Litigation 2019: Advanced Techniques & Bank Fiduciary Activities and Collective Limited Scope Representation 2019: 9-10 Best Practices Investment Funds 2019 Ethical & Practical Challenges New York & Live Webcast, Page 63 24th Annual Consumer Financial Services Chicago, Page 43 New York; Atlanta, Cincinnati, Mechanicsburg, Institute (2019) 16 Nashville, Philadelphia and Pittsburgh Groupcast 15 San Francisco & Live Webcast, Page 51 Locations & Live Webcast, Page 14 Implementing the FASB’s New Lease Hot Topics for In-House Counsel 2019 Annual Disclosure Documents 2019: New York; Atlanta, Boston, Cincinnati, Cleveland, Accounting Standard Workshop 2019 30 Current Developments and Best Practices Columbus, Indianapolis, Nashville and San Francisco, Page 22 Insider Trading Law 2019 New York; Atlanta, Boston, Cleveland, New Brunswick Groupcast Locations & 16-18 New York; Atlanta, Cleveland, Indianapolis and Mechanicsburg, New Brunswick, Philadelphia and Nashville Groupcast Locations & Live Webcast, Live Webcast, Page 15 Pittsburgh Groupcast Locations & Live Webcast, Tax Strategies for Corporate Acquisitions, Page 50 Page 16 Dispositions, Spin-Offs, Joint Ventures, MD&A In-Depth Workshop 2019 San Francisco, Page 22 Financings, Reorganizations & Restructurings Nonprofit Organizations 2019: Governance, 10-11 2019 Reporting, and Compensation Issues 18-19 37th Annual Institute on Telecommunications New York & Live Webcast, Page 25 New York; Cleveland and Columbus Groupcast 21st Annual Commercial Real Estate Institute Policy & Regulation Locations & Live Webcast, Page 62 17 New York; Atlanta, Indianapolis, Nashville and Washington, DC, Page 46 New Brunswick Groupcast Locations & Preparing for Shareholder Activism: 30-31 SEC Reporting Skills Workshop for Financial Live Webcast, Page 30 What You Need to Be Doing Now 2019 Outsourcing 2019: ITO, BPO and Cloud Professionals 2019 New York; Cleveland, Mechanicsburg, Philadelphia New York; Atlanta, Boston, Cleveland, SEC Reporting Skills Workshop for Financial New York, Page 19 and Pittsburgh Groupcast Locations & Mechanicsburg, New Brunswick, Philadelphia and Professionals 2019 Live Webcast, Page 11 Pittsburgh Groupcast Locations & Live Webcast, Orlando, Page 19 11 Page 9 Hot Topics in Health Care Law 2019 Securities Law and Practice 2019: 19-20 New York; Atlanta, Columbus, Indianapolis, How the SEC Works 31 SEC Reporting and Practice Skills Workshop for Nashville and New Brunswick Groupcast Locations New York; Atlanta, Boston, Cleveland, Indianapolis Implementing the FASB’s New Lease Lawyers 2019 & Live Webcast, Page 53 and Nashville Groupcast Locations & Live Webcast, Accounting Standard Workshop 2019 Atlanta, Page 8 Page 11 New York, Page 22 12 20 Ethical Issues in Pro Bono Representation 2019 17-18 Ohio New Lawyers Training 2019 New York & Live Webcast, Page 63 Advertising Law Institute 2019 Cleveland, Page 56 San Francisco & Live Webcast, Page 35 PLI’s California MCLE Marathon 2019: NOVEMBER Seventeenth Annual Directors’ Institute on Current Developments in Legal Ethics – 18 Corporate Governance Competence Issues – Elimination of Bias 1 Antitrust Counseling & Compliance 2019 New York; Atlanta, Cleveland, Columbus, San Francisco & Live Webcast, Page 58 Advocating for Veterans: The Basics on VA New York; Atlanta, Boston, Cleveland, Indianapolis, Mechanicsburg, New Brunswick, Benefits, Discharge Upgrades and Veteran Mechanicsburg, New Brunswick, Philadelphia and Philadelphia and Pittsburgh Groupcast Locations & 12-13 Cultural Competency 2019 Pittsburgh Groupcast Locations & Live Webcast, Live Webcast, Page 15 Coping with U.S. Export Controls and Sanctions San Francisco & Live Webcast, Page 62 Page 53 2019 Trial by Jury 2019 21 Washington, DC, Page 17 Developments in Pharmaceutical and Biotech New York; Atlanta, Cleveland, Indianapolis, Financial Services RegTech and Regulatory Patent Law 2019 Form 20-F In-Depth Workshop 2019 Nashville and New Brunswick Groupcast Locations Compliance Forum 2019 New York & Live Webcast, Page 44 New York, Page 23 & Live Webcast, Page 51 New York; Atlanta, Mechanicsburg, 21 New Brunswick, Philadelphia and Pittsburgh 13 4-5 Groupcast Locations & Live Webcast, Page 16 Fundamentals of Swaps & Other Derivatives Building Better Construction Contracts 2019 SEC Reporting and Practice Skills Workshop for 2019 New York; Atlanta, Cleveland, Columbus, Lawyers 2019 21-22 New York; Atlanta and New Brunswick Groupcast Indianapolis, Nashville and New Brunswick San Francisco, Page 8 SEC Reporting Skills Workshop for Financial Groupcast Locations & Live Webcast, Page 30 Locations & Live Webcast, Page 12 Professionals 2019 Understanding the Intellectual Property License 21-22 Atlanta, Page 19 16 2019 Fundamentals of Privacy Law 2019 Intellectual Property Law Institute 2019 New York; Atlanta, Indianapolis and New Brunswick 22 San Francisco, Page 36 New York; Atlanta, Cleveland, Indianapolis and Groupcast Locations & Live Webcast, Page 39 Prison Law 2019 New Brunswick Groupcast Locations & SEC Reporting Skills Workshop for Financial New York & Live Webcast, Page 63 4-6 Live Webcast, Page 45 Professionals 2019 51st Annual Institute on Securities Regulation 25-26 Chicago, Page 19 16-17 New York & Live Webcast, Page 14 Pocket MBA 2019: Finance for Lawyers and 35th Annual SEC Reporting & FASB Forum 21-25 Other Professionals 6 New York & Live Webcast, Page 23 The Art & Science of Interviewing Pro Bono New York; Cleveland, Mechanicsburg, Nashville, New Developments in Securitization 2019 Clients 2019 New Brunswick, Philadelphia and Pittsburgh Form 10-K In-Depth Workshop 2019 New York; Atlanta, Boston, Cleveland, Indianapolis, Online course, Page 62 Groupcast Locations & Live Webcast, Page 9 San Francisco, Page 21 Mechanicsburg, New Brunswick, Philadelphia and 22-23 Pittsburgh Groupcast Locations & Live Webcast, SEC Reporting Skills Workshop for Financial 17

Advanced Swaps & Other Derivatives 2019 Page 26 Professionals 2019 Ethics for Corporate Lawyers 2019 San Francisco, Page 19 New York; Atlanta, Cincinnati, Cleveland, New York; Atlanta and New Brunswick Groupcast Workplace Accommodation and Leave Locations & Live Webcast, Page 12 Columbus, Indianapolis and Nashville Groupcast Challenges 2019 Locations & Live Webcast, Page 58 23-24 New York & Live Webcast, Page 28 Staying Out of Trouble 2019: Hot Topics in

21st Annual Commercial Real Estate Institute 7-8 DECEMBER Ethics and Avoiding Professional Discipline Chicago, Page 30 21st Annual Commercial Real Estate Institute 2-3 New York & Live Webcast, Page 57 Pocket MBA 2019: Finance for Lawyers and San Francisco & Live Webcast, Page 30 35th Annual SEC Reporting & FASB Forum 18 Other Professionals Communications Law in the Digital Age 2019 San Francisco, Page 23 Chicago, Page 9 Fund Finance 2019 New York; Atlanta, Nashville and New Brunswick Form 10-K In-Depth Workshop 2019 New York; Atlanta, Cleveland, Indianapolis and 23-26 Groupcast Locations & Live Webcast, Page 46 New York, Page 21 Nashville Groupcast Locations & Live Webcast, Patent Office Exam Course 2019 11 Nuts and Bolts of Corporate Bankruptcy 2019 Page 17 San Francisco, Page 41 Bridge-the-Gap II: Ethics and Skills for Newly New York; Atlanta, Nashville and New Brunswick Admitted New York Attorneys 2019 Groupcast Locations & Live Webcast, Page 27 24 Please note: Dates, locations and prices are subject New York & Live Webcast (Ethics segment only), 36th Annual Section 1983 Civil Rights Litigation to change. Page 56 4 New York & Live Webcast, Page 50 Patenting the Blockchain 2019: 24-25 11-12 Technology, Law, and Strategy SEC Reporting and Practice Skills Workshop for 35th Annual SEC Reporting & FASB Forum San Francisco & Live Webcast, Page 44 Lawyers 2019 Dallas, Page 23 Chicago, Page 8 24-25 Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 33 INTELLECTUAL PROPERTY AND TECHNOLOGY

Fundamentals of Copyright Law in the Fundamentals of Trademark Law in the Data Era 2019† Global Marketplace 2019† Chair Chair Naomi Jane Gray, Shades of Gray Law Group, P.C., San Francisco Anne Hiaring Hocking, Donahue Fitzgerald LLP, Larkspur, CA Few areas of law have the ability to capture the public’s attention Trademark law continues to evolve and challenge its practitioners as new as consistently as copyright law. With its ties to industries such as case law questions what was once considered well-settled precedent. technology, media and the arts, any case involving the creation, use, As the technology behind global commerce drives us closer to an distribution and ownership of even a mildly famous copyrightable work environment of borderless transactions, trademarks enjoy more influence can generate a considerable amount of interest. And with the proliferation than ever. Yet with such geographical reach comes the need to understand of content creation and distribution platforms available to the general the international landscape of trademark registration and prosecution, public, copyright law is constantly facing new challenges that continue to as well as the strategies in policing trademarks and protecting them from shape and reshape areas of the practice. potential infringement. Fundamentals of Copyright Law brings lawyers new to the practice Fundamentals of Trademark Law delivers a unique blend of basic and seasoned copyright lawyers together at a unique program designed trademark review with coverage of the latest cases and controversies that to offer practical takeaways for everyone interested in this area. even beginners to the practice should be able to follow. The program also The agenda offers a survey of copyright law basics, including registration includes a capstone exercise featuring a simulation of a client interview, and enforcement, but ends the day with a review of recent case law and giving attendees the chance to see how some of the lessons they learned a discussion on the hottest topics in copyright law, providing substantive can emerge in a client engagement. content for all of its attendees. Topics Include Topics Include • Trademark law basics: the Lanham Act, unfair competition and dilution • Copyrightability, protectable subject matter and rights • Tips and strategies for searching and clearing marks • Copyright litigation strategies • Trademark infringement actions, strategies, remedies and litigation • Copyright enforcement strategies alternatives: TTAB or Federal Court • Review of major recent copyright case law • Applying for federal registration, domestic and international registration issues Credit Available: CLE and CPD • Hot topics and the latest trademark case law Program Attorney: Kenneth D. Min Special Feature San Francisco & Live Webcast,* July 8 • Video Simulation — Capstone Exercise: TTAB or Federal Court San Francisco, #253043 Credit Available: CLE and CPD Program Fee: $1,850; Course Handbook: #253048, $110 Program Attorney: Kenneth D. Min San Francisco & Live Webcast,* July 9 San Francisco, #253051 Program Fee: $1,850; Course Handbook: #253056, $60

GAIN ALL-INCLUSIVE ACCESS TO PLI’S ONLINE SEARCHABLE DATABASE 24/7 access to over 90,000 documents of legal research in 25 practice areas TREATISES, COURSE HANDBOOKS, ANSWER BOOKS, JOURNALS, LEGAL FORMS AND PROGRAM TRANSCRIPTS For more information, contact PLI at 877.900.5291, [email protected], or Footnote Key: PLUS.pli.edu †Transitional CLE course: For newly admitted attorneys during the first two years after admission to the Bar of the State of New York. NOW AVAILABLE IN THE APP STORE! *Webcast attendees: Please register online prior to the program date.

34 | To Register/Order, Call 800.260.4754 | Table of Contents INTELLECTUAL PROPERTY AND TECHNOLOGY

Internet of Things 2019: Advertising Law Institute 2019† † Everything Is Connected Co-Chairs Chair Holly A. Grochmal, Division General Counsel, Sales and Commercial Transactions, Pandora Media, Inc., Oakland, CA , Flatiron Law Group LLP, Summit, NJ Leonard T. Nuara Robert Newman, Loeb & Loeb, LLP, Chicago The Internet of Things is a core part of the Fourth Industrial Revolution Liisa M. Thomas, Sheppard Mullin Richter & Hampton LLP, Chicago where ubiquitous electronic objects are equipped with identifying, sensing, New media outlets and increased digitization continue to create new Internet communication abilities, which enable a massive scale of data challenges for advertisers who fight to preserve and increase market share collection and processing to accomplish previously unforeseen objectives. and reach their consumers effectively. This program, updated each year As is usually the case, technology presents opportunities but requires to reflect current legal trends cutting across the advertising industry, is counsel to navigate, or possibly create, the legal framework to allow IoT led by an expert faculty who will provide important strategies needed to to achieve its potential, while preserving individual, societal rights and stay on top of a continually evolving digital landscape. Learn practical improving lives and the planet. tips for managing risk and avoiding pitfalls that arise when running To stay ahead of the rapidly evolving legal landscape, lawyers and their interactive advertising campaigns. Covering topics such as promotions clients need to utilize a wide variety of skills as the challenges and rewards and sweepstakes, mobile advertising challenges, privacy considerations, require an interdisciplinary approach. Please join us for a robust discussion claim substantiation and more, this expansive program will equip you with of the future of the Internet of Things with leading experts in the field. the tools you need to practice advertising law today.

Topics Include Topics Include • Issues involving data rights, technology licensing, and regulations • Learn about promotions and sweepstakes challenges • When technology outpaces regulations • Analyze DMCA and CDA issues and when publishers are responsible for • Cybersecurity and privacy issues what others post • Litigation concerns • Manage online behavioral advertising and big data challenges • Navigate disclosure when the lines between commercial and content Credit Available: CLE, CPD and IAPP (Privacy) CPE are blurred Program Attorney: Justin Capuano • Review takeaways regarding labeling and disclosures New York, Live Webcast* & Groupcast Locations, July 26 • Understand developments related to endorsements, UGC and celebrities New York, #252328 • Atlanta, #267540 • Indianapolis, #267641 • Analyze effective pricing and incentive structures that work • New Brunswick, #266882 • Comparative advertising and use of third-party brands Program Fee: $1,850; Course Handbook: #252329, $220 • Learn advanced strategies for proper claim substantiation Special Feature “One of the best PLI Programs I attended.” • Earn one hour of Ethics credit – Randy Joseph, Tyco International US Inc Credit Available: CLE, CPD and IAPP (Privacy) CPE “Excellent program. Very timely and informative.” Senior Program Attorney: Seema Lal Meehan – Amy Sipe, Scott & Scott LLP Chicago, September 12-13 “Absolutely brilliant program. Hope PLI will offer it next year, too. San Francisco & Live Webcast,* October 17-18 Thank you!” Chicago, #248613 • San Francisco, #248614 – Anna Benenson, Teva Pharmaceuticals Program Fee: $1,895; Course Handbook: #248615, $220

“Great and informative program. Each of the speakers were excellent.” – Jane Hoffman, Robert Bosch LLC

INTERACTIVE LEARNING CENTER Sharpen your skills while having fun! Learn by doing with real-world scenarios that will engage you and sharpen your skills in a practical way. Award-winning ILC programs incorporate the latest in interactive technology and research-based instructional design. These innovative programs and games can be taken anytime and anywhere that is convenient for you.

Programs available at www.pli.edu/programs/interactivelearningcenter

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 35 INTELLECTUAL PROPERTY AND TECHNOLOGY

Cybersecurity 2019: Intellectual Property Law Institute 2019 Managing Cybersecurity Incidents Co-Chairs Chair David Bender, Adjunct Professor, University of Houston Law Center; Law Office of David Bender, Dobbs Ferry, NY , Hunton Andrews Kurth LLP, New York City Lisa J. Sotto Robert P. Taylor, RPT Legal Strategies PC, San Francisco Cyberattacks have wreaked havoc on organizations in every industry PLI’s Intellectual Property Law Institute is a “must-attend” program for sector. Senior management and boards of directors alike rank this issue IP lawyers. This program provides a complete analysis of key events in to be of the highest concern — and for good reason. From the consumer all areas of IP, providing updates on cases, legislation and government reporting agencies to technology companies to financial services agency developments that all IP lawyers need to know. organizations, cyber criminals have made it clear that no entity is immune. In today’s interconnected world, cybercrime targets go beyond those that Listen to a panel of in-house IP counsel from prominent companies maintain personal information; many entities have been targets due to the discuss best practices and strategies for confronting IP issues. Plenary business proprietary information they hold. Media reports of the staggering sessions will address recent developments in privacy issues; continuing number of increasingly sophisticated cyberattacks attest to an upward trends in patent enforcement; trademark hot topics; trade secrets; and trend in cybercrime, and the events of the last few years have dwarfed ethical issues for IP practitioners. Choose from four different breakout earlier hacking incidents. sessions, each addressing three topics that will focus respectively on important developments regarding copyrights, licensing, patents, There has been significant activity by the U.S. government to take and trademarks. measures designed to prevent or mitigate cybersecurity events. The European Union has also taken significant action to respond to This program is designed for intellectual property attorneys, the serious threat posed by cyber criminals. China has also been active in in-house counsel, general practitioners and anyone else who needs a this arena. comprehensive update on the major areas of intellectual property law. To keep up with the rapidly evolving legal landscape in this field, Topics Include companies need to be informed not only about the risks they face, but • The latest changes in the law of patents, copyrights, trademarks, and also about policy pronouncements and legislation that could affect how trade secrets they do business. A thorough understanding of this area is particularly • Important developments in privacy law important for companies that have not previously been in cyber attackers’ crosshairs and need to consider strategies to confront these sophisticated • An update of trademark law and persistent threats. • Significant trade secret developments The multiple challenges posed by cybersecurity issues demand an • Review of Supreme Court trends regarding patent enforcement interdisciplinary approach. Please join us for a robust discussion of the • Determining copyright infringement future of cybersecurity with leading experts in the field, including law Special Features enforcement authorities, Chief Information Security Officers, cybersecurity • In-house panel will provide client perspectives on topics of lawyers and forensic experts. current interest Topics Include • Four separate breakout sessions • Understand today’s threat environment and how cyber criminals operate • Earn one hour of Ethics credit • The lawyer’s role in identifying and investigating cybersecurity attacks, Credit Available: CLE, CPD and IAPP (Privacy) CPE including incident mitigation strategies • Proactive cyber readiness activities every company should undertake Program Attorney: Justin Capuano • Effective cyber governance structures and company policies to address New York, Live Webcast* & Groupcast Locations, September 23-24 cybersecurity threats and response San Francisco, October 21-22 • Legal and contractual obligations resulting from cybersecurity attacks New York, #249590 • Atlanta, #267554 • New Brunswick, #266884 • Cybersecurity regulation in the European Union and elsewhere • San Francisco, #249591 Program Fee: $1,895; Course Handbook: #249603, $220 Special Feature • Earn Continuing Privacy Education credit “Very well done. There was a nice selection of topics. And the video/audio Credit Available: CLE, CPD, CPE (NASBA), IAPP (Privacy) CPE and CFE (Fraud) delivery were perfect.” – John Rauch, Brinks Gilson & Lione Senior Program Attorney: Lauren E. Nochta New York, Live Webcast* and Groupcast Locations, September 13 San Francisco, October 15 New York, #252395 • Atlanta, #267184 • Cincinnati, #267185 • Cleveland, #267186 • Columbus, #267187 • Indianapolis, #268512 • New Brunswick, #267188 • San Francisco, #252396 Program Fee: $1,850; Course Handbook: #252397, $220

“As in prior years, Cybersecurity is a terrific PLI CLE that offers different perspectives, practical tips, advice from regulators and so much more.” – Diedra Gold, former EVP/GC, Wolters Kluwer United States Inc.

“Very helpful, current information.” – Daniel Donohue, Polsinelli PC

36 | To Register/Order, Call 800.260.4754 | Table of Contents INTELLECTUAL PROPERTY AND TECHNOLOGY

Blockchain 2.0: 2019 Legal & Regulatory Open Source Software 2019 – Developments From Compliance to Cooperation Co-Chairs Co-Chairs Dror Futter, Rimôn, PC, New York City Heather Meeker, O’Melveny & Myers, Menlo Park, CA Aaron J. Wright, Cardozo School of Law, New York City Mark F. Radcliffe, DLA Piper, East Palo Alto, CA This half-day program will offer in-depth discussions about the evolving This program will explore the unique legal issues facing the open source landscape of regulation for tokens and enterprise deployment of and free software community. Our experienced faculty will discuss the blockchain technology. PLI’s expert faculty will review token-related challenges developers are facing; the variety of licensing options when enforcement actions by regulators and explore potential taxation issues developing and using OSS; compliance with both the law and the terms of regarding blockchain. They will also analyze legal issues arising from those licenses; and recent developments in the open source community the deployment of blockchain-based solutions in the enterprise. that are changing how open source and free software is being used This program is intended for in-house counsel, outside attorneys, and around the world. other professionals already familiar with the fundamentals of blockchain technology who are interested in a deeper dive into developing Topics Include legal issues. • How open source licenses help build open source communities • Community enforcement norms and the latest enforcement activity Topics Include • How patents and trademarks interact with open source licensing • The evolving landscape of regulation for tokens, ICOs and STOs • Best practices for compliance with open source software licenses • An update on legislation and state enforcement actions relating to blockchain technology Special Feature • Legal considerations for enterprise blockchain solutions regarding: • Earn one hour of Ethics credit - Privacy Credit Available: CLE, CPD and CPE (NASBA) - Jurisdiction - Evidence Program Attorney: Laxmi Rees - Antitrust San Francisco & Live Webcast,* October 1 - Smart contracts San Francisco, #253528 - Consortia agreements Program Fee: $1,850; Course Handbook: #253533, $220 • Industry-specific issues in the deployment of blockchain-based solutions. Credit Available: CLE, CPD, CPE (NASBA) and IAPP (Privacy) CPE Senior Program Attorney: Willis Goodmoore New York, Live Webcast* & Groupcast Locations, September 26 New York, #252017 • Atlanta, #267449 • Cincinnati, #267393 • Cleveland, #267430 • Columbus, #267416 • Indianapolis, #267750 Program Fee: $895; Course Handbook: #252022, $220

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Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 37 INTELLECTUAL PROPERTY AND TECHNOLOGY

Think Like a Lawyer, Talk Like a Geek 2019: Trade Secrets 2019: What Every Lawyer Get Fluent in Technology† Should Know Co-Chairs Chair Peter Brown, Peter Brown & Associates PLLC, New York City Victoria A. Cundiff, Paul Hastings LLP, New York City Lori E. Lesser, Simpson Thacher & Bartlett LLP, New York City New technologies and work environments and an increase in Your client has advised you that it is creating a retail marketing website cross-border transactions place valuable secrets at increased risk. serving the U.S. and Europe. They need advice on contract negotiations Every failed business collaboration or key employee departure raises with the website developer, compliance with U.S. credit card standards, the potential for trade secrets loss. Injunctions are no longer automatic compliance with privacy standards in the EU, and strategies for keeping in trade secret disputes, but when awarded can range from the website secure from hackers. Are you ready to lead these discussions scalpel-like to enterprise changing. Damages awards in trade secrets and spot all the issues that may impact on your client? The lawyer who cases are increasing, and challenges to calculating damages in trade understands his or her client’s technology will stand out as a trusted secrets cases are becoming more wide-ranging. Trade secrets disputes counselor who can analyze and provide sound advice on technology are not just the concerns of private litigants: prosecutors and other issues. The availability of cheap and ubiquitous computing power is government officials are focusing on information theft as a strategic changing all aspects of business. As your client’s business changes to priority. Whether you work at or counsel a technology company or any meet new technologies, the legal issues they encounter only multiply. other company that creates or works with trade secrets — which means A lawyer now has an obligation to understand the legal issues arising from any company — this course will teach you what you need to know to his or her client’s adoption of new technology. However, without some protect your valuable assets, safely share confidential information, secure knowledge of the nuts and bolts of the technology clients are using, effective remedies for misappropriation and prevent and defend against a lawyer will not provide effective and useful advice. claims of misappropriation. Technology issues are also now part of virtually all civil litigations. Whether This program is geared to those who are responsible for assisting clients in dealing with e-discovery, analysis of client records or information in protecting and sharing intellectual property, structuring business technology failures, the knowledgeable lawyer will have the winning edge. transactions, and litigating and resolving business disputes they are Success in the courtroom often depends on having the most effective unable to avoid. The course will benefit intellectual property lawyers, understanding, analysis and presentation of a client’s technology-related corporate counsel, employment lawyers, white collar and investigations disputes. Lawyers, who often have no formal technical training, are attorneys, and others involved in protecting intellectual property assets required by court rules to report on their client’s technology infrastructure and key strategic personnel. so that a judge may address electronic discovery issues. Many discovery concerns can be resolved without reliance on expensive outside experts, Topics Include if counsel understands the underlying technology. Using technology to • Hear a primer on trade secrets law and the latest developments get to the heart of a dispute gives a lawyer the ability to reach a favorable • Learn how to prevent and manage trade secrets crises outcome faster. The client will recognize these superior insights and • Find out the best approaches to safeguard your company’s trade become loyal to an effective advocate. This unique program will give secrets when crossing international borders lawyers the necessary background to become more knowledgeable and • Evaluate the unique features of trade secrets damages and the related effective advocates in technology-related matters. costs of misappropriation This program is for in-house counsel, government lawyers, litigation • Recognize the potential for trade secrets disputes to arise with lawyers, technology and intellectual property lawyers, and any lawyer who cutting-edge technologies and new business models counsels a client developing, purchasing or using technology in their daily business. Special Feature • Identify ethical issues in trade secrets disputes Topics Include • The impact of artificial intelligence on industry, entertainment and Credit Available: CLE, CPD and IAPP (Privacy) CPE the legal profession Senior Program Manager, California: Ivo Mijac • Moving towards a cashless society and the technology that makes it possible San Francisco & Live Webcast,* October 7 • The changing models for delivery of entertainment to the home and San Francisco, #252839 mobile devices Program Fee: $1,850; Course Handbook: #252840, $220 • In-house counsel discuss developing a culture of compliance for cybersecurity “Interesting and very relevant program with up to date content.” • Why adopting new technologies is a matter of legal ethics – Michelle Bugbee, Eastman Chemical Company Special Feature • Earn one hour of Ethics credit “Very good, relevant CLE. Thank you.” Credit Available: CLE, CPD, CPE (NASBA) and IAPP (Privacy) CPE – Roxanne Spiegel, PATH Senior Program Attorney: Willis Goodmoore New York, Live Webcast* & Groupcast Locations, October 7 New York, #253877 • Atlanta, #267395 • Cleveland, #267429 • Columbus, #267415 • Indianapolis, #267749 • Mechanicsburg, #267685 • New Brunswick, #267219 • Philadelphia, #267679 • Pittsburgh, #267683 Program Fee: $1,850; Course Handbook: #253882, $220

“Great current topic — love it. Keep the legal tech programs coming!” – Alison Pregliasco Howard, Frost Brown Todd LLC

“Very comprehensive program with excellent and knowledgeable faculty. Presentation moved along and maintained interest.” – Elizabeth Minkoff, Delek USA

“Fascinating presentations on very current subjects — well worthwhile.” – Susan Galvao, Bleakley Platt & Schmidt

38 | To Register/Order, Call 800.260.4754 | Table of Contents INTELLECTUAL PROPERTY AND TECHNOLOGY

Understanding the Intellectual Property “Technotainment” 2019: Distributing Content License 2019† Across Multiple Platforms Co-Chairs Chair Bruce Ewing, Dorsey & Whitney LLP, New York City (New York only) Cydney A. Tune, Pillsbury Winthrop Shaw Pittman LLP, San Francisco Marcelo Halpern, Perkins Coie LLP, Chicago (Chicago only) Joseph Yang, PatentEsque Law Group, LLP, Menlo Park, CA Join our faculty of experienced in-house lawyers, law firm attorneys and (San Francisco only) senior business executives on the cutting edge of this challenging and burgeoning practice as they explore and offer guidance concerning today’s Licensing intellectual property can be a practical and efficient strategy major legal and business issues in the convergence of entertainment for a company seeking to gain access to cutting-edge technology and and technology. achieve a variety of business goals. Purchasing IP or developing it This program is targeted towards in-house counsel and law firm attorneys in-house can be costly and time-consuming, so a growing number of who work in or with technology, the Internet, games, news, sports, virtual companies are turning to licensing to meet their expansion, cost-cutting or reality, television, radio, video, film, entertainment, interactive media, or development objectives. telecommunications; and attorneys who practice in copyright, trademark, This course delivers the foundations of intellectual property licensing, licensing, merchandising, advertising or litigation. including how they apply to copyright, trademark, patent and software, among other forms. Attendees will learn how to spot issues and articulate Topics Include terms when negotiating and drafting licenses in a range of IP. Intellectual • Multiple judicial tests used to determine liability in a property lawyers, corporate counsel and related professionals seeking to right of publicity case know more about the practical business and legal issues behind licensing • Infringement issues relating to framing and/or embedding image content intellectual property will gain a solid understanding of the practice. and dealing with image tracking services and copyright takedown notifications Topics Include • Digital video content license and distribution agreements • Negotiating tips and effective drafting techniques • Non-disclosure agreements in sexual harassment matters; how to • Fundamentals of a copyright license address sexual harrassment claims; best practices to prevent claims • Important differences between patent and other technology licenses • The fast-paced changes, challenges and considerations involved in • Key provisions and practical considerations in trademark licensing licensing music and audio-visual content on various • Understanding software and open source licenses streaming platforms • Rights of publicity and entertainment licensing • The newly imposed ethical requirements of technological competence • Protection and enforcement of rights internationally when dealing with data breaches • Addressing antitrust issues Special Feature • Treatment of IP licenses under bankruptcy law • Earn one hour of Ethics credit • How licensing can generate new revenue • Hear from a litigator what happens when the agreement Credit Available: CLE and CPD has to be enforced Senior Program Attorney: Willis Goodmoore Special Features New York, Live Webcast* & Groupcast Location, October 25 • Instructive mock negotiation of a license agreement , #252782 • , #267397 • Earn one hour of Ethics credit New York Atlanta Program Fee: $1,850; Course Handbook: #253783, $220 Credit Available: CLE and CPD Program Attorney: Kenneth D. Min “Very informative — great CLE.” – Amy Bell, NBC Universal Inc. Chicago, October 24-25 New York, Live Webcast* & Groupcast Locations, November 4-5 San Francisco & Live Webcast,* December 5-6 Chicago, #253057 • New York, #253058 • Atlanta, #267075 • Indianapolis, #268250 • New Brunswick, #267074 • San Francisco, #253059 Program Fee: $1,895; Two-Volume Course Handbook: #253068, $240

“As usual, PLI and its Faculty and Staff are topnotch!! This is why I elected to obtain the Privileged Membership status. Well done PLI!!” – Ralph Sahrmann, Principle Power Inc.

“Stellar!” – Jean Park, Applied Textiles

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 39 INTELLECTUAL PROPERTY AND TECHNOLOGY

Online Platforms 2019: Hot Topics in Liability & The Law and Business of Open Source Social Responsibility Software 2019† Chair Co-Chairs Andrew P. Bridges, Fenwick & West LLP, San Francisco Lori E. Lesser, Simpson Thacher & Bartlett LLP, New York City Stuart D. Levi, Skadden, Arps, Slate, Meagher & Flom LLP, New York City The Internet and networked technologies have spawned many new business models that arise from empowering individuals and businesses, This program will address the critical issues that IP, technology and satisfying their needs and desires, providing products or services business lawyers need to consider when handling open source software that connect individuals and businesses in new communities and in today’s economy. Armed with this information, you will be better able marketplaces, shaking up old industries and networks, and creating new to help your clients make intelligent choices and decisions about how to opportunities and challenges. New technologies and online platforms are take advantage of the benefits and manage the risks presented by open changing our lives, economy, politics, and society in dramatic ways. source software. This program will be of interest to attorneys and allied This program will address some of the hottest legal and policy topics professionals who license open source software and need to understand that online platforms have brought to the fore: free speech, hate speech, how the licensing and use of open source software can impact their fake news, copyright, privacy and surveillance, artificial intelligence business or the business of their clients. and machine learning, and the Internet of Things. It will also discuss Topics Include international legal and policy tensions affecting global technologies and • Open source licenses in the context of real-life issues organizations. Those who attend this program will learn from experienced and insightful experts and pioneers in these important and • Guidance on how to analyze an open source license and its fast-moving fields. key provisions • Patents and standards in an open source world This program will benefit anyone who advises online platforms or marketplaces or consumer technology developers, who litigates for or • New business models based on open source software against them, and who invests in new business or technology models or Special Feature advises those investors. It will also benefit those who practice intellectual • Earn one hour of Ethics credit property law, technology law, media law, corporate law for startup or emerging growth companies, regulatory law, and/or litigation. Credit Available: CLE, CPD and CPE (NASBA) This program features dynamic speakers and audience interaction. Senior Program Attorney: Willis Goodmoore Topics Include New York, Live Webcast* & Groupcast Locations, November 13 • New developments and controversies regarding the roles of online platforms and their users with respect to legal rights and obligations and New York, #253914 • Atlanta, #267399 • Cleveland, #267433 • Indianapolis, public norms #267752 • Mechanicsburg, #267747 • Philadelphia, #267745 • Pittsburgh, #267746 • Case law and regulation developments, especially in the U.S. and EU Program Fee: $1,850; Course Handbook: #253919, $220 • How law and policy debates grow and unfold in response to new technologies, new uses of technology, and new business models • Jurisdictional conflicts and rivalries in a connected world ”Great course.” • Consumer protection and competition in e-commerce platforms – Eloise Maki, 3M • Artificial intelligence and machine learning: new risks and responsibilities • Internet of Things, Internet of Everything, privacy, and surveillance • Listen to our panel of in-house counsel discuss hot topics and provide practical advice Credit Available: CLE, CPD and IAPP (Privacy) CPE Senior Program Manager, California: Ivo Mijac San Francisco & Live Webcast,* October 28 San Francisco, #252827 Program Fee: $1,850; Course Handbook: #252828, $220

“One of the stronger PLI programs in terms of relevance of topics covered, and blend of black letter law and policy. The chair was fantastic.” – Sunni Yuen, Google Inc.

40 | To Register/Order, Call 800.260.4754 | Table of Contents PATENT

Patent Office Exam Course 2019 Advanced Patent Prosecution Workshop 2019: Claim Drafting & Amendment Writing Chair and Principal Lecturer John M. White, PLI’s Director of Patent Professional Development; Director, Co-Chairs Soryn IP Group, New York City; Berenato & White, LLC, Bethesda, MD W. Todd Baker, Oblon, McClelland, Maier & Neustadt, L.L.P., Washington, DC (New York only) Featured Lecturer Sanjeet K. Dutta, Steptoe & Johnson LLP, San Francisco Eugene Quinn, President and Founder of IPWatchdog, Inc. (San Francisco only) Pauline Farmer-Koppenol, Bio-Rad Laboratories, Inc., Hercules, CA The nation’s leading review course for the Patent Office Exam for over (San Francisco only) half a century. . . . Jay P. Lessler, Blank Rome LLP, New York City (New York only) We have more live locations and an online homestudy course that works Ann M. McCrackin, Black Hills IP, LLC, Minneapolis (New York only) on all computers, tablets and Android devices! This advanced program is designed for corporate and other in-house Check www.PatentOfficeExamCourse.com for details on our live and practitioners or outside counsel with patent experience who wish to homestudy courses. improve their patent preparation and prosecution skills, including drafting Everything in PLI’s Exam-focused Patent Office Exam Course 2019 — the specification and claims for U.S. and foreign patent applications, the interactive testing software, the course materials, the lectures — conducting Examiner interviews, and drafting effective Office Action is designed to help you pass today’s Exam. responses. By way of homework and classroom sample problems and solutions, Get Outstanding Course Materials attendees will have the opportunity to concentrate for two days on • PatWare® — Our exclusive interactive testing software has been the specialized skills required in their technological area by receiving updated and connected to the Web so that you can get instant individualized feedback and guidance from experienced patent comparative feedback on your progress toward passing the Exam. prosecutors. Discussions will include practical techniques for avoiding PatWare enables you to practice in all areas of the MPEP tested on the prosecution pitfalls and working with the U.S. Patent and Trademark Office Exam, or focus on specific chapters, customize practice exams quickly to obtain strong, durable patents equipped to withstand patentability and easily, get cites for all answers, and monitor your progress by chapter. challenges. In addition, faculty will provide counsel on the implementation It contains not only the old actual Exam questions, but newer questions by the USPTO of the Leahy-Smith America Invents Act, including written by our faculty to cover the testable materials added to the Exam, prosecution lessons learned from post-grant review proceedings such often based on up-to-the-minute feedback from our thousands of takers. as inter partes reviews. Furthermore, the practical impact of significant • Exam-Focus Study Guide — Gives you Exam tips and suggested study Supreme Court and Federal Circuit decisions, e.g., Myriad, Mayo, Alice, approaches for every section of the MPEP tested on the Exam, including and KSR, will be explained in light of the latest guidance provided by the weighted coverage of material according to its importance. USPTO for subject matter eligibility and the application of Section 112 to computer-implemented inventions. Lastly, the program also includes • Learn-by-Doing Exercises and Practice Exam Materials — intellectual property-specific Ethics CLE. Strengthen your understanding of the material with test-taking strategies, including time management. Structure of the Programs The New York Workshop is organized into four technology sections: Program Attorney: Mark D. Dighton Biotechnology, Chemical/Pharmaceutical, Electromechanical and To register, call 888.296.5973, or visit www.PatentOfficeExamCourse.com Electronics/Computers. The San Francisco Workshop is organized into two technology sections: Electromechanical/Mechanical, Electronics/ Homestudy online 24/7 for all takers! Computers; and Life Sciences (Biotechnology, Chemical/Pharmaceutical). Boston, July 9-12 Chicago, July 23-26 Homework review and realistic claim drafting and amendment writing New York, October 2-5 exercises are also a special feature of these Workshops. Homework must San Francisco, October 23-26 be completed and submitted upon registering onsite at the program. More information about homework will be made available at www.pli.edu Boston, #253894 • Chicago, #253895 • New York, #253896 at a later date. • San Francisco, #253897 Live or Homestudy Course — Program Fee: $2,895. Includes Course Materials and Credit Available: CLE and CPD Online Course. Senior Program Manager, California: Ivo Mijac Students and unemployed persons receive a substantial discount. New York, July 10-11 Note: This program is not included in Privileged Membership Agreements. San Francisco, August 15-16 New York, #252766 • San Francisco, #252767 “I would strongly recommend PLI to anyone who is preparing for the Program Fee: $1,895; Course Handbook: #252769, $220 patent bar exam. Mr. White and Mr. Quinn really have the knack, not only for the patent bar exam, but also patent law practice. The lectures are focused on key points which guide you through the MPEP smoothly. The Patware program allows you to reinforce the knowledge you learned from the lectures, and gives you the flexibility to learn on your own pace. The PLI course is a MUST to lay a solid foundation for you to start in the patent field. I am so grateful [to] PLI that [they] helped me to pass the patent bar exam!” – Caitlyn Sun, Ph.D.; passed the Exam in September 2018

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 41 PATENT

Patent Fundamentals Bootcamp 2019: USPTO Post-Grant Patent Trials 2019: An Introduction to Patent Drafting, Prosecution, New Challenges & Tactics † and Litigation Co-Chairs Co-Chairs Scott A. McKeown, Ropes & Gray LLP, Washington, DC Robert Greene Sterne, Sterne, Kessler, Goldstein & Fox P.L.L.C., Jennifer R. Bush, Fenwick & West LLP, Mountain View, CA Washington, DC Michael A. Molano, Mayer Brown LLP, Palo Alto Marc A. Sockol, Sheppard Mullin Richter & Hampton LLP, Palo Alto The Patent Trial & Appeal Board (PTAB) continues to evolve at a rapid pace. The new leadership of Under Secretary Iancu has brought significant PLI’s Patent Fundamentals Bootcamp offers an exceptionally PTAB practice changes to date — with much more to follow in 2019. comprehensive and interactive environment for attendees who want to These changes include a newly proposed amendment Pilot Program, learn the basics of patent application preparation, claims drafting and new strategies for adapting to the newly implemented Phillips claim prosecution, as well as recent developments in the law. This benchmark construction standard, and a host of precedential decisions impacting program provides a rare opportunity to receive individualized feedback changes to trial and institution practices. Additional modifications at the and mentoring in focused small clinic group settings, where multifaceted agency include new section 101/112 guidelines, and ever-evolving trial strategies and best practices will be explored and discussed. Instructed practices. Together, these developments have led to a vastly different by leading patent practitioners in the country who are skilled in various PTAB as compared to 2018. technology arts, attendees will work within the contexts of real-life scenarios and be guided through the entire patent application process, In addition to the adjustments of the agency, recent decisions from the receiving a thorough understanding of the basics of patent law. In addition, United States Court of Appeals for the Federal Circuit (CAFC) drive still a litigator’s perspective is provided to show how drafting and prosecution further practice and strategy considerations for practitioners. Issues such can influence the development and outcome of patent litigation; and as RPI/privity, collateral estoppel, and printed publications have been conversely, how a litigator’s perspective can inform patent drafting and further refined by the Court. Given the recent changes, it is all the more prosecution practices. critical that PTAB strategy be aligned with traditional infringement litigation practices. Patent prosecuting and litigating attorneys, patent agents, technical advisers, patent liaisons, and patent inventors, with or without a Patent As PTAB practice evolves, so does the patent monetization landscape. Office registration number and with little or no patent experience, will With further changes on the horizon for 2019, it is critical to develop new greatly benefit by attending this program. case management strategies, including concurrent patent prosecution and PTAB tactics, options, and PTAB exit strategies. Topics Include USPTO Post-Grant Patent Trials 2019 remains the most comprehensive This program features lectures each morning followed by clinic sessions in and longest-running post-grant patent program for patent owners and the afternoon where classroom problems and solutions will be furnished. investors; corporate counsel; patent litigators; patent advisers, owners, Both the lectures and clinics follow the patent application process — from and analysts; and patent professionals. Join our expert faculty for a invention disclosure and patent preparation (Day 1), through prosecution, deep-dive practical analysis of these critical post-grant trial proceedings. issuance and beyond (Day 2), to litigation/claim analysis (Day 3). At the end of this program, you will: Topics Include • Learn how to prepare a patent application that satisfies the statutory • NEW! The State of the U.S. Patent System: an intimate conversation requirements for patentability and distinctly claims the subject matter with the Former CAFC Chief Judge and Former USPTO Director that the applicant regards as the invention with an eye towards • Featured Speakers Luncheon Presentations: intimate conversations on successful prosecution and enforcement the current state of the U.S. patent system • Understand how to prosecute an application to obtain allowance of an • Learn how to prosecute and build patent portfolios to thwart later enforceable patent PTAB challenges • Learn how to interview an Examiner • Understand the intersection and impact of the PTAB on licensing • Discover effective uses of reissues, supplemental examination practices across predictable and unpredictable technologies procedures, reexamination, inter partes review, post-grant review, • Hear new tactics, evolving risks and trial institution best practices used and other post-issuance proceedings for preliminary proceedings • Determine best practices to anticipate patent litigation issues during the • Understand the intricacies of the Article I Trial Court, including patent prosecution process discovery, briefing, motion practice and amendment • Get helpful approaches on patent opinion drafting • Discover how to best license and navigate efficient infringement • Learn how to prepare infringement/invalidity claim charts for litigation • Explore strategies to best prepare for the final written decision, rehearing and appeals to the CAFC Special Features • Find out how to stay district court and/or ITC proceedings and leverage • Sharpen patent writing skills by drafting and reviewing patent claims the PTAB journey in active litigation with veteran patent practitioners in focused small clinic groups • Hear morning lectures on critical patent application topics Credit Available: CLE and CPD • Recognize potential ethical issues practitioners often encounter in Senior Program Manager, California: Ivo Mijac patent practice New York, Live Webcast* & Groupcast Locations, September 11 Credit Available: CLE and CPD New York, #252770 • Atlanta, #267050 • Indianapolis, #267754 Senior Program Manager, California: Ivo Mijac • Mechanicsburg, #267757 • New Brunswick, #267049 • Philadelphia, #267755 • Pittsburgh, #267756 San Francisco, July 17-19 Program Fee: $1,850; Course Handbook: #252771, $220 San Francisco, #252653 Program Fee: $2,195; Course Handbook: #252654, $220

“Excellent, informative program.” – Jim Gonko, Western Digital

42 | To Register/Order, Call 800.260.4754 | Table of Contents PATENT

Advanced Patent Licensing 2019 Patent Litigation 2019: Advanced Techniques Co-Chairs & Best Practices Mark S. Holmes, PatentBridge LLC, Menlo Park, CA Co-Chairs Joseph Yang, PatentEsque Law Group, LLP, Menlo Park, CA Darrick J. Hooker, Akerman LLP, Chicago (Chicago only) In the current legal environment, with patent litigation on the decline Christopher K. Hu, Blank Rome LLP, New York City (New York only) (especially in the U.S.), patent licensing (and related transactions) are heating up. Experts in patent licensing will discuss how to negotiate patent Whether you represent potential plaintiffs or defendants in patent litigation, license agreements, review examples of best (and, in some cases, worst) you must be up to date on the current state of the law and able to quickly practices, and share current legal developments affecting patent licensing. develop successful litigation strategies and tactics. Outside and in-house Practical tips for structuring, negotiating and drafting patent licenses, with lawyers with national reputations in patent litigation will offer guidance strategies for both the licensor and licensee, will be emphasized. on preparing for, managing and trying bench and jury patent trials, as well as U.S. Patent Office post-grant trial proceedings, and the program This program is geared toward those who need to offer patents for as a whole will furnish comprehensive coverage of every phase of these licensing, respond to patent licensing offers, draft and negotiate patent patent matters. Judges will provide their insights on the conduct and licenses, and enforce patent license agreements. In addition, intellectual management of patent litigation, in addition to sharing practical guidance property lawyers, corporate counsel, and others involved in the utilization for litigants. of patents as business assets will benefit from attending. If you are a patent litigator/lawyer, general business litigator, patent Topics Include prosecutor, or corporate counsel, attend this comprehensive program and • Tips on monetizing patents and/or resisting monetization invitations hone your patent litigation skills in just two days! • Exploring patent and/or license enforcement considerations Topics Include • Updates on the patent monetization environment in the U.S. and abroad • Hear a panel of federal judges share their views on managing patent • Best practices in drafting patent license agreements from experts at litigation, including the effects of concurrent Patent Office and ITC Silicon Valley’s best companies/firms proceedings, and hear why procedures and practices vary from • Discovering litigation trends from recent years affecting IP district to district and even from judge to judge licensing generally • Watch a demonstration of effective opening statements in a patent case • Understanding how specific court cases have (in some ways) expanded from both the plaintiff and the defendant, featuring commentary from a and/or (in other ways) shrunken patenting, licensing, enforcement jury consultant and/or patent challenge opportunities • See a demonstration of a claim construction hearing reflecting more • Learning how to update traditional patent licensing provisions in light of than twenty years of claim construction jurisprudence since the recent case law Markman decision in 1996 • Identifying frequently contested provisions and how to negotiate them • Hear recent developments affecting patent litigation practice and case strategies, including current and future impacts of key Supreme Court Special Features and Federal Circuit decisions, as well as proposed legislation • Actual agreements: analysis of varied provisions from actual patent • Discover strategies for multi-party litigation, joint defense groups, license agreements by five national experts indemnification, and indirect and divided infringement claims • Mock patent licensing negotiation by prominent patent licensing experts • Recognize ethical issues in jury cases, including the role of social media Credit Available: CLE and CPD Special Features Senior Program Manager, California: Ivo Mijac • Earn one hour of Ethics credit • Listen as judges share their views on managing patent litigation, recent San Francisco & Live Webcast,* September 13 trends, and tips for efficient case disposition San Francisco, #252776 Credit Available: CLE and CPD Program Fee: $1,850; Course Handbook: #252777, $220 Senior Program Manager, California: Ivo Mijac Chicago, October 15-16 New York, Live Webcast* & Groupcast Locations, November 13-14 Chicago, #252820 • New York, #252821 • Atlanta, #267052 • Columbus, #267053 • New Brunswick, #267051 Program Fee: $1,895; Course Handbook: #252822, $220

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 43 PATENT

Developments in Pharmaceutical and Patenting the Blockchain 2019: Biotech Patent Law 2019 Technology, Law, and Strategy Chair Co-Chairs David K. Barr, Arnold & Porter, New York City Jon E. Gordon, Haug Partners LLP, New York City Raina S. Haque, ErdÕs Intellectual Property Law + Startup Legal; Technological innovation, Federal Circuit appellate oversight, and Wake Forest University School of Law, Winston-Salem, NC Supreme Court decisions continue to drive significant changes in the law. At this program, several different perspectives on many of the most Blockchains and cryptocurrencies have been big news. More than pressing issues will be offered by experienced practitioners. It is designed $2.6 billion has been raised in Initial Coin Offerings (ICOs), and bitcoin to give you the information you need to maintain your practice edge, volatility has made headlines. The hype surrounding bitcoin and concentrating on recent developments and placing them in the context of ICOs sometimes threatens to obscure the promise of the underlying constantly evolving areas of the law. Do not miss this opportunity to fully technology, though; to many, “blockchain” may mean nothing more understand the impact of new appellate decisions on your pharmaceutical than money laundering and darknets. But blockchains are much more and biotechnology patent practice! than cryptocurrencies. They and related technologies promise new, The program is geared towards in-house counsel and law firm attorneys transformative solutions to problems of trust, control, and distribution of who are responsible for pharmaceutical and biotech patent prosecution, data. Recognizing the promise of blockchain technology, many continue patent litigation, and patent transactions and strategies. to invest heavily in blockchain-related technologies and their applications. The investments lead to innovation and, as a corollary, the desire to Topics Include protect the innovation to get a return on the investments. • Major case law developments impacting life sciences patent practice, Patents are traditionally looked to as a way to protect innovation. But including recent and impending Supreme Court and Federal Circuit patenting blockchains in the U.S. often raises issues of patent eligibility decisions and noteworthy developments at the district court level that have taken on new importance following the Supreme Court’s • Developments at the USPTO, including post-grant decisions in Mayo, Alice, and other cases. These issues can be particularly inter partes proceedings acute considering how many applications of blockchains relate to • Ethical considerations impacting patent practice FinTech or improvements to business practices. Moreover, some popular blockchain technologies and applications derive much of their appeal from Special Feature being nonproprietary, so a patent may not always be the right tool. • Earn one hour of Ethics credit This program is designed for both patent practitioners and Credit Available: CLE and CPD non-practitioners. The program will benefit firm attorneys and in-house counsel who are not patent practitioners but need to counsel clients Senior Program Manager, California: Ivo Mijac developing blockchain technologies and their applications as well as New York & Live Webcast,* October 18 patent practitioners who wish to deepen their understanding of the issues these technologies raise. New York, #252833 Program Fee: $1,850; Course Handbook: #252834, $220 Topics Include This program covers issues that come up when considering blockchain patents. It reviews the basics: the core technologies, main applications, and emerging trends. It discusses the laws of patent eligibility in the U.S. and internationally, and what those laws mean for protecting blockchain- related inventions. Trends in allowances at the USPTO will be explored in detail. The program will explore strategic issues, including considerations that make patents more appropriate for some kinds of blockchain-related inventions than for others.

Credit Available: CLE and CPD Senior Program Manager, California: Ivo Mijac San Francisco & Live Webcast,* December 4 San Francisco, #269652 Program Fee: $1,850; Course Handbook: #269653, $220

44 | To Register/Order, Call 800.260.4754 | Table of Contents PRIVACY/CYBERSECURITY

Global Data Protection Boot Camp 2019 Fundamentals of Privacy Law 2019† Chair Chair Harry A. Valetk, Baker & McKenzie, New York City Ken Mortensen, Intersystems Corporation, Cambridge, MA Complying with laws governing privacy and cross-border data flows has It used to be that only “death and taxes” were inevitable, but for attorneys never been more complicated. U.S. companies can no longer effectively these days, add to that list, “privacy.” This program will give general compete in today’s interconnected marketplace without leveraging data, practitioners, litigators, corporate counsel, and transactional attorneys a monetizing it, and freely moving it across country borders. That is why fundamental understanding about how privacy connects and works with implementing appropriate programs to comply with new data protection other practice areas, as well as the basics of the security of personal laws emerging around the world has never been more important. information and regulatory enforcement. You will be able to know where Companies in the U.S. that have operations in the EU, or otherwise deal to start when your client asks that privacy law question, recognize when directly with consumers in the European Union (B2C), or offer services to privacy impacts a transaction, understand what “PII” is, and know how to European companies (B2B), had until May 25, 2018 to address the new address privacy in your day-to-day advice. European General Data Protection Regulation (“GDPR”) requirements. Now, California has enacted an unfamiliar type of law for the United Topics Include States: the California Consumer Privacy Act (“CCPA”). CCPA is broad • The basics of information security for personal information in scope, and establishes a new comprehensive privacy framework for • The legal fundamentals for privacy protections businesses that fall within its jurisdiction by expanding the definition of • The difference between “privacy” and “security” “personal information”; creating new data privacy rights for California • The connection of privacy law with key practice areas, including health, consumers, including rights to know, access, delete, and opt out of the financial services, communications, and third parties “sale” of their personal information, and imposing special rules for the • The general primer on international privacy laws, such as the EU GDPR collection and sale of personal information directly from minors; and creating a new statutory damages framework for violators that fail to • The response and remediation from data breach and regulatory inquiries implement and maintain reasonable security procedures and practices to Special Feature prevent data security breaches. • Earn Continuing Privacy Education credit This half-day Boot Camp — now in its fourth year — brings together Credit Available: CLE, CPD, CPE (NASBA), IAPP (Privacy) CPE, individuals charged with formulating their organization’s global privacy CFE (Fraud) and CCB (Compliance) CEUs compliance strategy. It is for those who must implement the “nuts and bolts” of GDPR, CCPA, Brazil’s General Data Privacy Law (“GDPL”), and Senior Program Attorney: Lauren E. Nochta other privacy laws, and evaluate the right approach for your organization. What are the practical implications of your chosen approach? What are New York, Live Webcast* & Groupcast Locations, December 16 the risks? And how do you implement the procedural enhancements New York, #247736 • Atlanta, #267199 • Cleveland, #267200 • Indianapolis, now commonly required? This program is for privacy practitioners within #268513 • New Brunswick, #267201 every organization — legal, compliance, IT security, and audit — hoping Program Fee: $1,850; Course Handbook: #247737, $220 to gain insights and practical information about the ongoing conversation surrounding GDPR, CCPA, GDPL, and other privacy laws.

Topics Include • Gain insights on key substantive and procedural compliance recommendations for GDPR, CCPA, GDPL, and other privacy laws • What are the fundamental requirements for notice, consent, record of processing activities, and onward transfer requirements now mandated by GDPR? • Discuss practical considerations on how to set your organization’s compliance strategy • Hear distinguished experts from both government and industry tell you what you should be doing to address cross-border data transfers Special Feature • Earn Continuing Privacy Education credit Credit Available: CLE, CPD and IAPP (Privacy) CPE Senior Program Attorney: Lauren E. Nochta San Francisco & Live Webcast,* October 10, 9:00 a.m. – 1:30 p.m. PT San Francisco, #247694 Program Fee: $895; Course Handbook: #247695, $220

“Great program! The presenters made the subject matter even more engaging than I already find it to be.” – Alison Pregliasco Howard, Frost Brown Todd LLC

“This is one of the best online PLI classes. Thank you.” – John Harwood, OpenText

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 45 COMMUNICATIONS/TELECOMMUNICATIONS

Communications Law in the Digital Age 37th Annual Institute on 2019 Telecommunications Policy & Regulation Co-Chairs Co-Chairs Jeffrey P. Cunard, Debevoise & Plimpton LLP, Washington, DC; Scott D. Delacourt, Wiley Rein LLP, Washington, DC Co-Author, Copyright Law: A Practitioner’s Guide (PLI) Michele C. Farquhar, Hogan Lovells US LLP, Washington, DC Jeremy R. Feigelson, Debevoise & Plimpton LLP, New York City; Bryan N. Tramont, Wilkinson Barker & Knauer LLP, Washington, DC Author, Privacy Law Answer Book (PLI) Lee Levine, Ballard Spahr LLP, Washington, DC Presented by Practising Law Institute in cooperation with the Federal Communications Bar Association, this conference on telecommunications Chairman Emeritus policy and regulation features a faculty of expert practitioners, in-house counsel from telecommunications organizations, and key officials from James C. Goodale, Debevoise & Plimpton LLP, New York City the FCC who will provide attendees with a comprehensive understanding The practice of media and communications law demands the ability to of cutting-edge issues facing the telecommunications industry today. respond to new challenges arising from digital and social media, and The program will address critical trends and the latest developments, this program will address recent developments in First Amendment, including wireless, wireline telecommunications, broadband Internet, and defamation, privacy, intellectual property, newsgathering, right of international and privacy issues. The Institute also focuses on industry publicity, and reporter’s privilege law and more. Unlike any other program, competition, convergence and consolidation. This program is perfect Communications Law in the Digital Age 2019 will provide the legal, for those looking to explore the significant developments of 2019 while strategic, and practical guidance needed to keep current in these areas of learning what legal challenges lay ahead for 2020. law and technology. Topics Include Topics Include • Featured Speakers: FCC Commissioners, Bureau Chiefs, and • Recent developments in electronic media regulation senior government officials • First Amendment updates • Developments in new technology, privacy, cybersecurity, media, wireline and wireless • Legislative, judicial, and regulatory developments in data protection and privacy • Legislative updates from current Capitol Hill staffers • Updates on reporter’s privilege and newsgathering liability • New topics addressing challenges involved with recent technologies • Important intellectual property decisions Special Features • Current issues in right of publicity law • Featured remarks from FCC Commissioners • Recent developments in Section 230, commercial speech, • Networking Luncheon and Featured Speaker and anti-SLAPP law • FCBA members receive 10% off the cost of registration • International media law updates Credit Available: CLE and CPD Special Feature Senior Program Attorney: Seema Lal Meehan • Earn one full hour of Ethics credit in a new interactive format! Credit Available: CLE and CPD Washington, DC, December 10-11 Senior Program Attorney: Seema Lal Meehan Washington, DC, #248657 Program Fee: $1,895; Course Handbook: #248658, $220 New York, Live Webcast* & Groupcast Locations, November 7-8 New York, #248631 • Atlanta, #267037 • Nashville, #267038 • New Brunswick, #267039 Program Fee: $2,045; Course Handbook: #248632, $220

“The groups were extremely knowledgeable and delivered a wonderful presentation. Great work.” – Gary Akavickas, SC Johnson & Son Inc.

“Excellent faculty. Agenda was a great combination of recent case reports and open discussion.” – Paul Kaufman, Sheppard Mullin Richter & Hampton

“Outstanding program. Shows why PLI remains the gold standard of Continuing Legal Education.” – Ronald Palenski, Axiom Attorney

GUARANTEE IT’S SIMPLE If you are not completely satisfied ✓ with the return on your investment from any PLI program, we will refund your money in full.

46 | To Register/Order, Call 800.260.4754 | Table of Contents LITIGATION

Negotiation Workshop for Lawyers 2019† 21st Annual Supreme Court Review: † Chair October 2018 Term Joseph D. Harbaugh, Professor and Dean Emeritus, Shepard Broad Co-Chairs College of Law at Nova Southeastern University, Fort Lauderdale, FL Erwin Chemerinsky, Dean and Jesse H. Choper Distinguished Negotiation Workshop for Lawyers is one of our longest-running Professor of Law, University of California, Berkeley, School of Law, programs, and every year the Workshop continues to deliver an engaging Berkeley, CA and unique learning experience. Attendees learn negotiation theory, Martin A. Schwartz, Professor Emeritus of Law, Touro Law Center, technique and strategy, and then put those lessons to the test with a mock New Rochelle, NY negotiation of a legal matter that may resemble transactions encountered in everyday practice. Crucially, attendees will learn the building blocks for A distinguished faculty, expected to include constitutional scholars, successful negotiations, what kind of negotiators they are, and the various Supreme Court advocates, civil rights experts and a Supreme Court styles and techniques their future negotiation counterparties may employ journalist, will analyze, discuss, and debate the leading decisions of in real-life practice. the October 2018 Term of the United States Supreme Court. Anyone concerned with the development of constitutional law and Before the program, registrants are prompted to prepare for a hypothetical the U.S. Supreme Court will find this program highly informative and negotiation exercise that will take place on program day. During the intellectually stimulating. program, attendees are immersed in the foundational concepts of negotiation, as they are taught a range of preparation techniques, styles Topics Include and strategies to be applied in a variety of situations and bargaining • Overview of the October 2018 Term: identification of major decisions; positions. A hypothetical exercise closes the day, allowing attendees to themes of the term; voting patterns of the Justices; Justice Kavanaugh’s square off with an exercise partner and test their retention of what was first term; and the role of the Chief Justice taught earlier in the day. Revealing and educational, this program will • Important decisions on voting equality, freedom of speech, and religion refresh any attendee’s notion of what good negotiation preparation and • Federal government power, including immigration execution looks and feels like. • Business interests and civil litigation Topics Include Credit Available: CLE and CPD • How to prepare for every stage of a negotiation Senior Program Attorney: Janet L. Siegel • Choosing between an “adversarial” or “problem-solving” approach • Controlling the agenda, avoiding ethical traps New York, Live Webcast* & Groupcast Locations, August 1 • Deciding between a cooperative and competitive style New York, #248047 • Atlanta, #267209 • Boston, #266867 • Cincinnati, #266930 • Getting, giving and guarding critical information in a negotiation • Cleveland, #267208 • Indianapolis, #267643 • Nashville, #266929 • Using argument, appeal, threat or promise to persuade your opponent Program Fee: $1,095 • Knowing when and how to concede without losing credibility

Special Feature “Outstanding program.” • Mock negotiation exercise – Norm Coleman, Hogan Lovells US LLP Credit Available: CLE and CPD “A truly excellent program — as much of a course on the Supreme Court Program Attorney: Dana M. Berman as it was a timely look and explanation of what is happening in today’s news. With the greatest of thanks, PLI!” New York, July 17 – Susan Cohen, Nassau County Commission on Human Rights New York, #252934 Program Fee: $1,195 “Great panel — great discussions.” – Laurence Rubinow, McCarter & English LLP

“I make certain to attend this CLE every year.” – Deborah Rouse, Schnader Harrison Segal & Lewis LLP

Full scholarships, registration fee waivers, and discounts to attend PLI programs are widely available to pro bono, nonprofit, and legal services attorneys, as well as others who qualify for scholarship assistance. Please visit learning.pli.edu/scholarship for additional details and to complete our brief application.

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 47 LITIGATION

Electronic Discovery Nuts & Bolts 2019† Securities Arbitration 2019† Chair Chair Steven C. Bennett, Scarola Zubatov Schaffzin, New York City Sandra D. Grannum, Drinker Biddle & Reath LLP, Florham Park, NJ This program will acquaint you with the basics of e-discovery law and This year’s Securities Arbitration program will feature FINRA Dispute practice. E-discovery permeates nearly every facet of litigation today, Resolution leadership and arbitrators, as well as noted academics and and attorneys tasked with meeting today’s complicated e-discovery experienced attorneys who represent both customers and industry. requirements must recognize the nuances and technicalities involved. Our faculty will provide practical tips for litigating and arbitrating elder Join our faculty of experienced e-discovery practitioners to gain the abuse claims and strategies for knowing when and which claims are ripe tools and strategies to efficiently and competently navigate the for mediation. They will also explore the hot ethical issues involved in e-discovery landscape. securities arbitration for advocates and neutrals, and for getting a diverse panel of arbitrators in the forum. Finally, they will take a look at the latest Topics Include hot topics and future trends in securities arbitration for 2019 and 2020. • The first things to do when you receive a case involving e-discovery • The nuts and bolts of preservation, Rule 26(f) conferences, document Topics Include search and review, privilege protection, and production formats • Recent developments in FINRA arbitration and mediation • Preservation and collection strategies • Diverse arbitration and mediation panels: Wall Street meets Main Street • Search and review processes • Practical and legal considerations for elder abuse securities arbitration in light of a growing senior population Special Feature • Mediation practicum: best practice tips for optimal results • Half-day format • Hot ethical issues in securities arbitration Credit Available: CLE, CPD, CPE (NASBA), IAPP (Privacy) CPE and • Staying ahead of the curve: hot topics and future trends in securities CFE (Fraud) arbitration in 2019/2020 Program Attorney: Dana M. Berman Special Feature • Earn up to two hours of Ethics credit New York, Live Webcast* & Groupcast Locations, September 5, 1:00 – 4:30 p.m. ET Credit Available: CLE, CPD and CPE (NASBA) New York, #247771 • Cincinnati, #271984 • Cleveland, #271463 Program Attorney: Dana M. Berman • Columbus, #271464 • Nashville, #271465 • New Brunswick, #271466 Program Fee: $895; Course Handbook: #247772, $220 New York, Live Webcast* & Groupcast Locations, September 10 New York, #253522 • Atlanta, #267025 • Boston, #266866 • Cleveland, #267021 • Indianapolis, #267813 • Mechanicsburg, #267763 • New Brunswick, #266859 • Philadelphia, #267761 • Pittsburgh, #267762 Program Fee: $1,850; Course Handbook: #253527, $220

“Very informative and entertaining. The moderators were excellent in keeping the panels on point and moving things along.” – Jill Fieldstein, Nicoll Davis & Spinella LLP

48 | To Register/Order, Call 800.260.4754 | Table of Contents LITIGATION

Hot Topics in Electronic Discovery 2019: White Collar Crime 2019: Prosecutors and What Corporate and Outside Counsel Regulators Speak† † Need to Know Co-Chairs Chair Martine M. Beamon, Davis Polk & Wardwell LLP, New York City James J. Benjamin, Jr., Akin Gump Strauss Hauer & Feld LLP, Gary A. Adler, Morgan, Lewis & Bockius LLP, New York City New York City The demands and costs of e-discovery in litigation continue to grow. White collar enforcement continues to be a top priority of the Department Nearly every case now involves some sort of e-discovery, and it is of Justice, SEC, CFTC, and other U.S. and foreign agencies. In recent essential to know how to effectively and fairly handle the many issues that years, the enforcement agenda has shifted into new areas such as can arise. Our outstanding faculty of experienced lawyers, judges, and cybercrime, cryptocurrency, dark pools, and modern forms of market e-discovery professionals will provide an inside look at the current state abuse such as spoofing. At the same time, the authorities continue to of e-discovery, give tips for avoiding pitfalls litigants have encountered in focus on traditional areas such as anti-corruption/FCPA, accounting and the years since the passage of the federal rules, and discuss important disclosure, AML and sanctions, market manipulation, insider trading, and ethical issues in light of court decisions imposing discovery sanctions and domestic public corruption. The government remains committed to the outlining the duties of outside and in-house counsel. prosecution of individuals as well as corporations, which has led to a rise This program is designed to provide counsel with the understanding in contested litigations and trials in recent years. The authorities have necessary to advise clients on state, federal and international e-discovery continued to coordinate with other law enforcement agencies around the strategic and technology issues. You will take away practical strategies globe, and have grown increasingly aggressive in demands for production you can use when you are called upon to provide guidance on e-retention of electronic communications and other data. policies or e-discovery. This unique program will give you the background and tools necessary Topics Include to handle white collar cases and civil enforcement actions, and to design • Updates on the latest legal developments in e-discovery and implement effective compliance and risk management strategies. You will hear directly from current and former high-level officials in many of • Hear from judges, in-house counsel, outside counsel, and others facing the country’s top enforcement agencies, along with in-house counsel and the myriad of e-discovery issues that can arise in litigation leading defense practitioners, about the current and future priorities for the • Gain the perspectives of experienced e-discovery attorneys who have government and the practical implications for your company or clients. encountered problems similar to those your clients will likely face This program is designed for lawyers who defend and prosecute civil • Get practical tips for conducting efficient and defensible discovery in enforcement actions and white collar criminal cases, as well as in-house the electronic age and outside corporate counsel, and internal auditors and compliance • Learn why sanctions are imposed for e-discovery violations and officers. Additionally, government attorneys, forensic accountants, how you can avoid similar issues and other experts and consultants who handle white collar internal Special Feature investigations, civil enforcement actions and criminal prosecutions will find • Earn one hour of Ethics credit this program extremely valuable. Credit Available: CLE, CPD, CPE (NASBA), IAPP (Privacy) CPE and Topics Include CFE (Fraud) • An update on the SEC’s enforcement priorities, including foreign corrupt practices, cryptocurrency, accounting violations, high-frequency trading Program Attorney: Dana M. Berman issues, and insider trading New York, Live Webcast* & Groupcast Locations, September 18 • Enforcement by the CFTC: spoofing, benchmark cases, market manipulation, and cryptocurrency New York, #247777 • Atlanta, #267027 • Cincinnati, #267018 • Cleveland, #267020 • Nashville, #267034 • New Brunswick, #266864 • Cross-border investigations: managing multiple regulators and Program Fee: $1,850; Course Handbook: #247772, $220 recent developments • Counsel for individual employees: key considerations and issues in an era when the government is focused heavily on enforcement “This was a fantastic seminar. I hope to be there in person next year.” against individuals – Britt Anderson, Hunton Andrews Kurth LLP • Key takeaways and lessons from recent white collar trials

“Great presentation; really thoughtful and informative.” Credit Available: CLE, CPD, CPE (NASBA), IAPP (Privacy) CPE and CFE (Fraud) – Jeffrey Lamb, Honigman Miller Schwartz & Cohn LLP Program Attorney: Dana M. Berman New York, Live Webcast* & Groupcast Locations, September 25 New York, #247788 • Columbus, #271494 • New Brunswick, #271495 Program Fee: $1,850; Course Handbook: #247789, $220

“Probably one of the best CLE programs I’ve taken. Incredibly informative and fascinating! Thank you!” – Adam Cohen, Consumer Financial Protection Bureau

“This was the best PLI program for me. It was very well presented and the panel was uniformly impressive. I enjoyed it so much that I have recommended it to my colleagues as well. Thanks PLI.” – Carol Schultze, U.S. Securities and Exchange Commission

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 49 LITIGATION

36th Annual Section 1983 Civil Rights Insider Trading Law 2019† † Litigation Chair Chair David I. Miller, Morgan, Lewis & Bockius LLP, New York City Martin A. Schwartz, Professor Emeritus of Law, Touro Law Center, Over the last decade, insider trading has been a critical area of criminal New Rochelle, NY 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, The law of Section 1983 is multifaceted, complex, and continually and the Ninth Circuit’s decision on the same issue in Salman, the law’s evolving. To be an effective Section 1983 litigator, it is necessary to have contours were in flux. But then the Supreme Court agreed to hear the an in-depth understanding of the various aspects of Section 1983 litigation Salman appeal, and in December 2016, the Court issued its first insider and to stay abreast of the latest developments. At PLI’s 36th Annual trading opinion in nearly twenty years. In August 2017, the Second Circuit Section 1983 Civil Rights Litigation program, a highly experienced and issued another groundbreaking decision in Martoma, in which the Court accomplished faculty will analyze the most important aspects of the law of applied Salman in rolling back part of Newman’s “personal benefit” test. Section 1983, as well as recent trends and developments. The program is But then in June 2018, the Second Circuit issued an amended Martoma designed for all attorneys representing plaintiffs and defendants in Section opinion, modifying the extent of its rollback of Newman. Salman and 1983 litigation. Martoma are significant and may assist the government in its ongoing Topics expected to be discussed at the 2019 program include: insider trading enforcement efforts, but areas of complication remain, • First Amendment retaliation claims particularly with the advent of prosecutions in the area of “political intelligence.” • Recent developments in qualified immunity • Causation Don’t miss out on this highly topical program, which will discuss the • Jury instructions state of the law, enforcement priorities in this area, and how clients can avoid the government’s crosshairs. Our faculty of experienced litigators • Impeaching credibility of the plaintiff and police officer — including current and former DOJ prosecutors and SEC and CFTC • Taser cases enforcement attorneys — will address the change in law, current and future areas of enforcement, and best compliance practices to prevent Credit Available: CLE and CPD insider trading. Senior Program Attorney: Janet L. Siegel Topics Include New York & Live Webcast,* October 24 • The law of insider trading New York, #248082 • Implications of Salman, Martoma, Newman, and other recent decisions Program Fee: $1,095; Four-Volume Course Handbook: #248083, $370 • Title 15 versus Title 18 securities fraud charges • Investigating insider trading allegations • Best compliance practices and avoiding enforcement actions Full scholarships, registration fee waivers, and discounts to • Key strategies in defending criminal and civil insider trading actions attend PLI programs are widely available to pro bono, nonprofit, • Current and future criminal and civil enforcement priorities for insider and legal services attorneys, as well as others who qualify for trading cases scholarship assistance. Please visit learning.pli.edu/scholarship Special Feature for additional details and to complete our brief application. • Half-day format Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) Program Attorney: Dana M. Berman New York, Live Webcast* & Groupcast Locations, October 30, 1:30 – 5:00 p.m. ET New York, #247782 • Atlanta, #267029 • Cleveland, #267023 • Indianapolis, #267852 • Nashville, #267032 Program Fee: $895; Course Handbook: #247783, $220

“Wonderful format. Great speakers. Extremely educational and touched on all the key points.” – James Humphrey, U.S. Commodity Futures Trading Commission

“Good session, very knowledgeable speakers and interesting.” SAVE THE DATE – Kate Weber, Molson Coors Brewing Company FOR THIS NEW PROGRAM! “Very good speakers. I really enjoyed the presentation and learned a lot.” – Nicholas W. Maiorano, Eckert Seamans Cherin & Mellott LLC

Trial Evidence 2019 “Terrific panel! I really enjoyed the program.” – Robert Frenchman, Greenberg Traurig LLP New York & Live Webcast,* December 9, 9:00 a.m. – 12:30 p.m. ET

New York, #249903 Program Fee: $895; Course Handbook: #249904, $60 Visit www.pli.edu for more details.

50 | To Register/Order, Call 800.260.4754 | Table of Contents LITIGATION

Trial by Jury 2019† 24th Annual Consumer Financial Services Chair Institute (2019) David R. Marriott, Cravath, Swaine & Moore LLP, New York City Co-Chairs You won’t want to miss this popular program, in which the masters of the Alan S. Kaplinsky, Ballard Spahr LLP, Philadelphia bar and the bench come together to give you valuable and useful insights John J. Roddy, Bailey & Glasser LLP, Boston on jury trials. We have assembled the most experienced and respected Julia B. Strickland, Stroock & Stroock & Lavan LLP, Los Angeles state and federal judges, as well as many distinguished litigators, to Beth E. Terrell, Terrell Marshall Law Group, Seattle give you their perspectives on jury trials. There is no better way to learn 2019 marks the 24th year of this exceptional program, which is considered about jury trial practice than from the attorneys who try the nation’s most the premier consumer financial services CLE program in the country. important cases and the judges who preside over them. The leadership of the BCFP, FTC, DOJ, FDIC, OCC and federal banking Whether you are new to your career as a trial attorney or an experienced agencies has changed under the Trump administration. While the priorities courtroom litigator, this course will give you a unique view into jury trials of those agencies have also changed, all of them are still very active and the best way to handle them, from opening statements through in enforcing consumer financial services laws. At the same time, state closing arguments. Our faculty will also dissect the ethical issues that regulators and attorneys general have increased their enforcement activity often arise and the best ways to handle these situations. Join us to gain to fill any void created by the decline in activity at the federal level. proven strategies and practical tools to successfully manage every phase The volume of private litigation, particularly under the TCPA and FCRA, of your next jury case. has remained high. We will bring you up to speed on what the regulators Topics Include and enforcement agencies are focusing on now and the areas in which the • How to select the best jury for your client and your case risk of private litigation, including class actions, remains high. • How to compose and deliver a persuasive opening statement We will also focus on regulatory and compliance issues that are • How to structure an effective direct examination implicated by new products and new methods of advertising, originating and servicing consumer financial products and services. The improved • How to conduct a killer cross-examination economy, the deregulatory atmosphere at the federal level, and the • How to argue, persuade, and win with your closing argument increase in technological innovation (including artificial intelligence, • How best to tackle the sometimes thorny ethical issues common data aggregation and blockchain) has resulted in new entrants into the in jury trials consumer financial services industry and the offering of new products by Special Features existing players in the industry. We will focus on how the panoply of federal and state laws applies to the broad range of consumer financial services, • Earn one hour of Ethics credit including mortgages; auto finance; credit, debit and prepaid cards; student • Get the “View from the Bench” you won’t hear anywhere else — many loans; marketplace lending and FinTech; payday, auto title and installment of the nation’s most experienced and respected judges sit on each lending; and deposit accounts. Join us and our esteemed faculty for an panel and share their unique perspectives on every aspect of jury trials insightful review of the intersection between new technologies and new Credit Available: CLE and CPD products and existing regulatory frameworks. All professionals involved in consumer financial services, including Program Attorney: Dana M. Berman lawyers, legal and compliance professionals, bankers, lenders, debt New York, Live Webcast* & Groupcast Locations, November 1 collectors, credit bureaus, consumer advocates and professors, will gain many practical takeaways from this program. New York, #250310 • Atlanta, #267030 • Cleveland, #267024 • Indianapolis, #267854 • Nashville, #267031 • New Brunswick, #266865 Topics Include Program Fee: $1,850; Course Handbook: #250311, $220 • The new priorities at the BCFP, FTC, DOJ, FDIC and OCC • The regulatory and enforcement initiatives of the state regulators and “Probably one of the best and most informative attorneys general CLEs I have experienced.” • The latest wave of private litigation, including class actions, against banks and other consumer financial services companies – Timothy Fitzgibbon, Nelson Mullins Riley & Scarborough LLP • Regulatory and litigation priorities of consumer advocates in 2020 • Continuing focus on debt collection, privacy and data security • Ethical issues that practitioners face in the consumer financial services industry Special Feature • Earn one full hour of Ethics credit Credit Available: CLE, CPD, CPE (NASBA) and IAPP (Privacy) CPE Senior Program Attorney: Danielle B. Cohen San Francisco & Live Webcast,* December 9-10 San Francisco, #254132 Program Fee: $2,045; Course Handbook: #254133, $220

“I have been a consumer financial services regulatory lawyer for over 42 years. Without question, this annual program is the premier CLE program in this area.” – Joseph Gabai, Morrison & Foerster LLP

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 51 HEALTH CARE AND LIFE SCIENCES

Life Sciences 2019: Navigating Legal Nuts and Bolts of Medicare and Medicaid Challenges in the Drug and Device Industries† 2019† Co-Chairs Chair Nathan A. Brown, Akin Gump, Washington, DC Edo Banach, President and CEO, National Hospice and Palliative Care Scott D. Danzis, Covington & Burling LLP, Washington, DC Organization, Baltimore Join our expert faculty of health care and life sciences practitioners, At some point in life, most Americans will qualify for either Medicare or in-house counsel, government regulators, and prosecutors as we examine Medicaid, or have friends or loved ones who do. Yet few understand how the current state of health care and life sciences law and what the future the two government health care programs work. Whether you work with might hold for affected parties. This program will cover the broad range of clients who may benefit from Medicare or Medicaid; work with health care issues confronting the health care and life sciences industry: structuring providers, hospitals, pharmacies, or health insurance providers who are of compliant financial and other relationships; recent developments in compensated by Medicare of Medicaid; or simply want to learn the basics scientific discourse and promotional guidelines affecting FDA-regulated for your own benefit, this program will give you a firm understanding of companies; and federal and state enforcement of health care fraud and how these important government programs work. Our expert faculty will abuse laws, including the federal False Claims Act, the federal explain what each program is; how they are funded; what they cover; Anti-Kickback Statute, the Stark law, and similar state laws. This program the application process; who qualifies; how claims are processed; and is designed for health care attorneys (newly admitted and experienced) limitations on the length and amount of coverage. You will also learn how and allied professionals. the Affordable Care Act and other recent laws are impacting Medicare and Medicaid services. Every attorney will benefit from attending this program. Topics Include • The legal framework for promoting drugs, biologics, Topics Include and medical devices • What are Medicare and Medicaid? • Legal requirements related to off-label promotion • Who qualifies for Medicare and Medicaid? • Recent developments in health care law and regulation • What are Medicare Parts A, B, C and D? • Trends in health care fraud enforcement • How do Medicare and Medicaid work with private • Best practices for compliance program effectiveness and health care insurance? internal investigations • What are some ongoing and future changes to Medicare and Medicaid?

Credit Available: CLE, CPD, CPE (NASBA), IAPP (Privacy) CPE, Special Feature CFE (Fraud) and CCB (Compliance) CEUs • Half-day program Senior Program Attorney: Willis Goodmoore Credit Available: CLE, CPD and CPE (NASBA) New York, Live Webcast* & Groupcast Locations, October 10 Senior Program Attorney: Willis Goodmoore New York, #253898 • Atlanta, #267396 • Boston, #267214 • Cleveland, #267431 New York, Live Webcast* & Groupcast Locations, December 6, • Indianapolis, #267751 • Mechanicsburg, #267698 • New Brunswick, #267389 9:00 a.m. – 12:30 p.m. ET • Philadelphia, #267693 • Pittsburgh, #267694 Program Fee: $1,850; Course Handbook: #253903, $220 New York, #253920 • Atlanta, #267400 • Cleveland, #267434 • Columbus, #267424 Program Fee: $895; Course Handbook: #253925, $220 “This was a great program and very relevant to my practice. All of the speakers were good and provided interesting information and insights. The written materials will be useful as well.” – Brooke Bumpers, Hogan Lovells US LLP

“Excellent program. Thanks to PLI and all of the excellent presenters.” – Cynthia Bass, Sanofi U.S.

“I found the instructors very knowledgeable on the varied subjects covered. I will definitely look forward to participating next year.” – Lacey Elberg, Johnson & Johnson

Now you can attend PLI programs at our remote viewing locations in Atlanta, Boston, Cincinnati, Cleveland, Columbus, Indianapolis, Mechanicsburg, Nashville, New Brunswick, PLI Philadelphia and Pittsburgh. Get a classroom experience — and live GROUPCASTS CLE credit — without having to leave town.

52 | To Register/Order, Call 800.260.4754 | Table of Contents HEALTH CARE AND LIFE SCIENCES / ANTITRUST

Hot Topics in Health Care Law 2019† Antitrust Counseling & Compliance 2019† Co-Chairs Chair David J. Farber, King & Spalding LLP, Washington, DC M. Howard Morse, Cooley LLP, Washington, DC Esther Scherb, Covington & Burling LLP, Washington, DC Lawyers counseling businesses should have a solid foundation in Join our expert faculty of health care practitioners, in-house counsel, the principles of antitrust law and an understanding of the latest government regulators, and prosecutors as we examine the current state antitrust developments in order to advise their clients effectively. of health care law and what the future might hold for affected parties. This The consequences of running afoul of antitrust rules can be costly: federal program will cover the broad range of issues confronting the health care and state government enforcement actions, jail time for executives, treble industry: payment reforms; structuring of compliant financial and other damages litigation, class actions, and adverse publicity are all risks when relationships; recent developments in interoperability for electronic health companies step over the line. Do you have the tools needed to help your records, and related guidelines affecting regulated companies; and federal clients avoid making costly mistakes without stopping them from engaging and state enforcement of health care fraud and abuse laws, including in lawful activity, so that they can accomplish their business goals? Attend the federal False Claims Act, the federal Anti-Kickback Statute, the Stark this program and learn when to say “no” and when to say “yes” and how law, and similar state laws. The program will also cover the prognosis for to provide practical answers to the antitrust questions your clients will ask. reforming health care under the Trump administration. This program is designed for both newly admitted and experienced health care attorneys, Topics Include in-house counsel and allied professionals. • What impact is the Democrats’ control of the House having on antitrust enforcement? What new policies adopted by the Trump administration Topics Include should you be aware of? What changes are expected from the FTC • Recent developments in health care legislation, regulations and “Hearings of Antitrust and Consumer Protection in the 21st Century”? case law • When are bundled prices, loyalty discounts and exclusive dealing • Emerging trends in federal and state enforcement of health care fraud acceptable and when are they problematic? What about tying? and abuse laws • When can you expect the DOJ or FTC to block a proposed merger? • Best practices for effective compliance programs and What leads the government to investigate non-reportable deals? internal investigations What are the implications of the DOJ challenge to AT&T/Time Warner • Recent changes in payment reform and related measures for future vertical merger enforcement? What can we learn from recent • Advancements in coverage and payment for digital communications FTC-litigated cases against Otto Bock, Tronox, and Wilhelmsen? and electronic health records • How can you avoid antitrust risk in intellectual property licenses? What do you need to know when participating in industry standard Credit Available: CLE, CPD, CPE (NASBA), IAPP (Privacy) CPE, setting or licensing “standards essential patents”? Are NPEs CFE (Fraud) and CCB (Compliance) CEUs (non-practicing entities) at risk of violating antitrust law? When are patent acquisitions at risk? How are the lower courts ruling on Senior Program Attorney: Willis Goodmoore settlements of patent litigation after the Supreme Court decision in New York, Live Webcast* & Groupcast Locations, December 11 FTC v. Actavis? • What do you need to know about competition law enforcement outside New York, #253926 • Atlanta, #267406 • Columbus, #267425 • Indianapolis, #267753 • Nashville, #267392 • New Brunswick, #267391 the U.S.? How much do you need to worry about enforcement in the BRIC countries (Brazil, Russia, India and China) as well as the EU? Program Fee: $1,850; Course Handbook: #253931, $220 What does Brexit mean for competition enforcement in the EU and UK? • What do you do if you learn about price fixing at your company? “Interesting variety of topics and well informed presenters.” When is it wise to self-report and seek leniency? Is extradition to the – Gemma Maria Fowler Fleisher, Maynard Cooper & Gale PC U.S. and jail time for foreign executives a real risk? Special Feature • Earn one hour of Ethics credit Credit Available: CLE, CPD, CPE (NASBA) and CCB (Compliance) CEUs Director, Programs: Krista M. Gundersen New York, Live Webcast* & Groupcast Locations, October 18 New York, #249706 • Atlanta, #267008 • Boston, #266858 • Cleveland, #267007 • Mechanicsburg, #267653 • New Brunswick, #266857 • Philadelphia, #267651 • Pittsburgh, #267652 Program Fee: $1,850; Course Handbook: #249711, $220

INDIVIDUAL PRIVILEGED MEMBERSHIP UNLIMITED ACCESS TO PLI’S LIVE AND ONLINE PROGRAMMING FOR ONE FLAT ANNUAL FEE! For more information on Individual Privileged Membership, please call 800.260.4754 or email [email protected]

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 53 ENVIRONMENTAL / IMMIGRATION

Environmental Regulation 2019: Hot Topics, 52nd Annual Immigration & Regulatory Developments, and Practical Naturalization Institute† † Guidance for Corporate Compliance Chair Co-Chairs Cynthia Juarez Lange, Fragomen, Del Rey, Bernsen & Loewy, LLP, Santa Clara, CA Philip E. Karmel, Bryan Cave Leighton Paisner LLP, New York City Duke K. McCall, III, Morgan, Lewis & Bockius LLP, Washington, DC PLI’s 52nd Annual Immigration & Naturalization Institute will offer an outstanding faculty of leading practitioners who will discuss recent This program will review recent developments in environmental law developments, key immigration trends, and hot topics. This program is affecting a range of businesses and organizations. Among other topics, designed for attorneys who work with immigration matters as part of a our program will cover the impact of recent court decisions, new diverse practice or who specialize in immigration law. In-house counsel regulations and initiatives affecting regulated entities, and practical and personnel managers who have employment and immigration matter suggestions for management and compliance. Take a comprehensive responsibility also will benefit from attending this program. look at how new developments in environmental regulations and case law will affect deal negotiations, daily operations and corporate compliance Topics Include efforts. Join us and our expert faculty for an insightful examination into the • Policies and practices of the administration and implications for the current regulatory landscape and for many helpful takeaways to support immigration practitioner your practice. • What immigration counsel need to know about work and employment Topics Include visas, including a discussion of H-1B practice and permanent labor • The latest regulatory requirements and court decisions relating to air certification program (PERM) developments and climate change • Families with non-citizens — policy and processing changes • Implementation of the new amendments to the Toxic Substances • The latest developments concerning asylum and relief from removal Control Act Special Feature • Regulation of emerging contaminants at the state and federal levels • Earn Ethics credit • Best practices for environmental auditing Credit Available: CLE, CPD and HRCI/SHRM • Climate change adaptation, including issues of coastal resiliency and regulatory takings Program Attorney: Ilizabeth Hempstead • Environmental issues in corporate and real estate deals New York, Live Webcast* & Groupcast Locations, December 4-5 • Court rulings and regulatory developments affecting the scope of the Clean Water Act New York, #252030 • Atlanta, #267193 • Columbus, #267194 • New consumer product and toxic chemical disclosure laws Program Fee: $1,095; Course Handbook: #252031, $110 and regulations Special Feature • Earn one hour of Ethics credit Credit Available: CLE and CPD Program Attorney: Victoria Kennedy New York, Live Webcast* & Groupcast Locations, September 27 New York, #251782 • Atlanta, #266968 • New Brunswick, #266933 PLI MOBILE Program Fee: $1,850; Course Handbook: #251783, $220

“Always a top tier group of instructors and very relevant material.” Meet – May Wall, Winston & Strawn LLP

“Superb program from top to bottom.” – Samuel Stubbs, Pillsbury Winthrop Shaw Pittman LLP Our

“Great overview program. Appreciated the thoughtful commentary by a number of presenters.” Versatile – Sara Mogharabi, Hogan Lovells US LLP “Very informative; thank you. Quite a bit of work went into this; that was App obvious. A good all-around selection of panelists as well.” – James Dragna, Morgan, Lewis & Bockius LLP Download our expert and ever current audio and video content, On-Demand and on-the-go. Access your Online Library. Review all your course materials. Request CLE and other approved audio and video learning credits in your state.

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54 | To Register/Order, Call 800.260.4754 | Table of Contents ESTATES AND TRUSTS / MCLE REQUIREMENTS

50th Annual Estate Planning Institute Bridge-the-Gap I: Ethics and Skills for Newly † Chair Admitted New York Attorneys 2019 Sanford J. Schlesinger, Schlesinger Lazetera & Auchincloss LLP, With law school behind you, it’s now time to learn the ethics and skills New York City lessons that are helpful to know before you start practicing, but that tend to arise when you’re already on the job. Knowing how to navigate a range The Reconciliation Act of 2017 (the “2017 Act”), which was enacted on of ethical pitfalls, polishing your writing and communications for clients December 22, 2017, included significant changes to the federal transfer and colleagues, as well as honing your negotiation preparation approach tax regime and related income tax provisions. This program will review are all skills and knowledge that are “nice to know” until you “need to transfer tax and related income tax developments, and will discuss how know.” And whether you are in litigation, transactions, or in-house, law they impact estate, trust and income tax planning, and the administration firms and legal departments are demanding that new lawyers joining their of decedents’ estates. Moreover, the program will review other recent ranks possess a strong grasp of these types of broader professional skills developments regarding estate, trust and transfer tax and income and knowledge from day one. tax planning. New lawyers aren’t expected to be experts in all areas of law, but they are Topics Include expected to learn quickly, communicate effectively and act ethically and • A review of the transfer tax and related income tax provisions of the professionally. Attend Bridge-the-Gap I and get started on the right path 2017 Act to establishing your professional brand at this early stage in your career. • A review of the interaction between the new federal transfer tax regime Newly admitted New York attorneys should find the content of this and state transfer tax regimes program helpful. It will also offer them the chance to earn their annual • Drafting estate planning documents to comply with and take advantage MCLE Ethics and Skills credit requirements. of the new federal transfer tax regime Topics Include • A review of the significant estate planning techniques that were not affected by — and that are still viable after — the 2017 Act • Legal ethics tips for navigating a range of “gray-area” situations • A review of the transfer tax and related income tax aspects of the • Improving your writing and communications skills for the legal audience Internal Revenue Service’s most recent Priority Guidance Plan • Understanding basic accounting terms that may arise in law practice • An update on recent developments in all areas of estate, trust and • Preparing for negotiations with sensitive information and clients transfer tax planning Special Features • Income tax planning for estates and trusts • Video scenarios of legal ethics pitfalls • Ethical considerations for attorneys acting as fiduciaries or beneficiaries • Breakout exercises to hone negotiation skills . . . and much more! • Editing session to improve legal writing clarity for clients and colleagues Special Feature • Audio simulation of consequential miscommunications in the • Earn one hour of Ethics credit law firm setting Credit Available: CLE, CPD, CPE (NASBA), IRS-CE and CFP CE Credit Available: CLE Program Attorney: Victoria Kennedy Program Attorney: Stephanie N. Figueroa New York, Live Webcast* & Groupcast Locations, September 16-17 New York & Live Webcast (Ethics segment only),* July 30 New York & Live Webcast (Ethics segment only),* September 20 New York, #253217 • Atlanta, #266967 • New Brunswick, #266928 Program Fee: $1,895; Course Handbook: #253218, $220 New York (July), #252186 • New York (September), #252187 Program Fee: $765

“Great course and wonderful lecturers.” – Gaines Gwathmey, Paul Weiss Rifkind Wharton & Garrison LLP Bridge-the-Gap: Professional Practice for Newly “Great program. Found it particularly useful on digital assets, international Admitted Attorneys 2019† aspects, prenup agreements and estates.” – Paul Kovelman, Medtronic, Inc. Fulfill your annual New York MCLE requirement for professional practice credit by attending this one-day program covering a variety of substantive law topics. Learn from our faculty of experts, who will guide you through the fundamentals of advertising in social media, cloud computing, ATTEND compliance, cybersecurity, and health care law. This is your opportunity to satisfy your curiosity about an area of law that may be outside of your FROM YOUR practice while earning the MCLE credit you need. Attorneys admitted in New York within the last two years will satisfy their LOCATION! annual MCLE professional practice requirement by attending this one-day program. You can satisfy your ethics and skills MCLE requirements at REGISTER other programs.

FOR OUR Topics Include LIVE WEBCASTS Advertising in social media world • Cloud computing • Recent development in cybersecurity • Smart contracts law • FCPA enforcement Most of our programs are available as live Webcasts. Reserve your seat to watch PLI’s Special Feature • Fully satisfy your annual New York MCLE professional practice acclaimed faculty as they discuss the hottest requirement for newly admitted attorneys legal trends, developments, case law and Credit Offered: CLE, CPD and IAPP (Privacy) CPE regulations. . . . View all supporting material. . . . And earn CLE and CPE credit. Program Attorney: Jesse Sands New York & Live Webcast,* August 2 Register today at www.pli.edu/FDY9 or New York, #252408 Call 800.260.4754 Program Fee: $765

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 55 MCLE REQUIREMENTS / ETHICS/PROFESSIONAL RESPONSIBILITY

Bridge-the-Gap II: Ethics and Skills for Newly Ethics and Conflicts of Interest in Law Admitted New York Attorneys 2019† Practice 2019† Attorneys admitted in New York within the last two years will satisfy their Chair annual MCLE Ethics and Skills requirements by attending this one-day Jennifer A. Paradise, White & Case LLP, New York City program. You can satisfy your professional practice and law practice management MCLE requirements at other programs. Attendees of this popular program will learn about different forms of conflicts, how they arise and the ways attorneys facing conflicts issues Topics Include may address them. The experienced faculty will guide attendees through • Ethical implications of social media use for lawyers various scenarios illustrating how lawyers can navigate clear conflicts that • Legal drafting: effective writing to avoid litigation pitfalls may be unexpectedly thrust upon the attorney, or those potential conflicts • Retraining your brain: becoming the best negotiator in the room that may be more nebulous. • Skills for pro bono work: a toolkit for representing low-income clients Topics Include • Interpersonal communication skills for lawyers • Identifying potential and actual conflicts Special Feature • Determining whether a conflict may be waived • Earn three hours of Ethics credit • Crafting effective conflict waivers • Establishing systems and protocols to assist your attorneys with Credit Available: CLE identifying potential and actual conflicts Program Attorney: Jesse Sands • Reviewing recent developments in conflict-of-interest law from case law, ethics opinions, and disciplinary opinions New York & Live Webcast (Ethics segment only),* August 7 and • The relevant New York Rules of Professional Conduct and their November 11 relationship to the American Bar Association Model Rules New York (August), #252200 • New York (November), #252201 Program Fee: $765 Credit Available: CLE, CPD and CPE (NASBA) Director, Programs: Krista M. Gundersen New York, Live Webcast* & Groupcast Locations, August 6 Ohio New Lawyers Training 2019 New York, #252442 • Atlanta, #267005 • Nashville, #269359 Program Fee: $395; Course Handbook: #248077, $220 Newly admitted Ohio attorneys must complete twelve hours of New Lawyers Training by the end of their first biennial compliance period. Three of the twelve hours MUST consist of instruction on topics related to professional conduct, professional relationships, obligations of lawyers, or aspirational ideals of the profession; instruction on topics related to The Attorney-Client Privilege and Internal fundamental law office management; and instruction on topics related to Investigations 2019† client fund management. Attend this half-day live program at the Cleveland office of Jones Day to earn these three credits while receiving expert Chair guidance from a faculty of experienced Ohio-based practitioners. Helen V. Cantwell, Debevoise & Plimpton LLP, New York City Topics Include Internal investigations can conjure up a range of ethical issues for counsel • Professionalism: legal issues involved in social media for lawyers conducting them. Privilege issues alone account for many of the ethical and clients concerns that may emerge from an internal investigation. Tied to those • Law Office Management: client relations, trends in law office technology, privilege concerns, many related practice issues follow, including that and how to use marketing effectively and appropriately of conflicts and handling cooperation with the government. Attorneys • Client Fund Management: best practices for client fund management conducting internal investigations or working with counsel on them will and proper maintenance of an IOLTA account benefit from attending or viewing this program. Our experienced faculty will discuss various ways to approach ethical gray areas that may arise Credit Available: CLE, CPD and IAPP (Privacy) CPE during investigations, along with any related case law or recent legal Program Manager: Leonard McKenzie developments in the practice. Cleveland, November 20, 9:00 a.m. – 12:30 p.m. Topics Include • Ethical issues in conducting the investigation Cleveland, #249482 • Recent trends in government agency approaches to internal Program Fee: $125 investigations, cooperation, and waiver of privilege • Privilege issues arising from cooperation with the government • Best practices in conducting investigations • Conflict of interest issues arising in the representation and interview of company employees • Conflicts between the company and employees on privilege waiver issues • Issues arising in international inernal investigations

Credit Available: CLE, CPD and CPE (NASBA) Program Attorney: Victoria Kennedy New York, Live Webcast* & Groupcast Locations, August 6, 3:00 – 5:10 p.m. ET New York, #252910 • Atlanta, #266946 • Columbus, #266945 • Nashville, #266941 Program Fee: $395; Course Handbook: #248077, $220

56 | To Register/Order, Call 800.260.4754 | Table of Contents ETHICS/PROFESSIONAL RESPONSIBILITY

Ethics in Banking and Financial Services The Ethics of Electronic Information 2019: 2019† Competence, Confidentiality, and Other † Chair Ethical Conundrums C. Evan Stewart, Cohen & Gresser LLP, New York City Chair All attorneys must be cognizant of the ethical requirements of practicing Ronald J. Hedges, Dentons US LLP, New York City law, and in particular, they should be aware of the particular ethical pitfalls Electronic information is all-pervasive and its use and misuse can pose that exist within their practice area. At this program, an expert faculty will serious ethical problems for attorneys. Attorneys and litigators in particular review and provide practical guidance on current ethical issues faced by use electronic information to communicate with the public and with attorneys working in banking and financial services. Topics will include clients, to advertise their services, and to prosecute and defend litigation. attorney-client privilege issues, whistleblower remedies, relevant and Electronic communications have now expanded to include social media timely issues currently facing practicing attorneys in banking and financial and that media poses expanded opportunities and risks for attorneys. services today, and more. Our faculty, which consists of private practitioners well-versed in the All attorneys in the banking and financial services industry should attend ethical issues presented by electronic information and who represent this program. plaintiffs as well as defendants in civil litigation, will address the Topics Include cutting-edge ethical issues arising out of the electronic information that • Confidentiality and attorney-client privilege issues when representing we use on a daily basis as attorneys. This program will benefit litigators banking and financial services clients who use or must deal with electronic information, whether to advertise, communicate or litigate. Whether you are in solo practice, with a small • Ethical issues in internal investigations or “mega” firm, or a corporation or government agency, knowledge of • As corporate counsel, what are your whistleblower remedies? the ethical implications of electronic communications — including • Current ethical issues involving conflicts of interest, multiple social media — is essential to the successful practice of law today representation, and “no contact” rules and tomorrow. • How to represent clients facing parallel investigations • What is your exposure as a lawyer to civil and regulatory liability? Topics Include • The “technology” amendments to the Model Rules of Special Feature Professional Conduct • Earn three hours of Ethics credit • The baseline knowledge a competent attorney should have in order to Credit Available: CLE, CPD, CPE (NASBA) and CFE (Fraud) deal with electronic information • The protection of confidentiality when using electronic information Program Attorney: Stephanie N. Figueroa • The risks of waiver of attorney-client privilege and work product as well New York, Live Webcast* & Groupcast Locations, August 13, as confidentiality 9:00 a.m. – 12:00 p.m. ET • The ethical duty to supervise third-party service providers New York, #248076 • Atlanta, #267287 • Columbus, #267285 • Cincinnati, • The ethical use of social media for professional and business purposes #267286 • Indianapolis, #267673 • Nashville, #267288 • The ethical advice that should be given to a client about social media Program Fee: $695; Course Handbook: #248077 $220 • The ethical issues related to investigating witnesses and jurors on social media • The ethical “dos and don’ts” of communicating with judges “Very interesting discussion. I really appreciated the attorneys’ candor on various court decisions concerning privilege.” • The ethical issues regarding the electronic filing of documents – Dionne T. Pulcinella, People’s United Bank Special Features • Earn three hours of Ethics credit “Fabulous panel; super presenters. Everyone should attend this.” • Half-day format – Mary Rose Brusewitz, Strasburger & Price LLP Credit Available: CLE, CPD, CPE (NASBA) and IAPP (Privacy) CPE Program Attorney: Dana M. Berman Staying Out of Trouble 2019: Hot Topics in New York, Live Webcast* & Groupcast Locations, October 11, Ethics and Avoiding Professional Discipline† 9:00 a.m. – 12:30 p.m. ET New York, #247810 • Atlanta, #267028 • Cincinnati, #267017 • Cleveland, Chair #267022 • Columbus, #267016 • Indianapolis, #267850 • Nashville, #267033 Ronald C. Minkoff, Frankfurt Kurnit Klein & Selz, PC, New York City Program Fee: $895; Course Handbook: #247824, $220 A panel of experts will examine a number of important new developments in New York ethics law, all of which you need to know to protect yourself “Very good program with excellent presenters.” and your firm against claims of malpractice and ethical misconduct. – James Newell, Freddie Mac

Topics Include “This was a great program; and essential for almost everyone. • Social media ethics The instructors were wonderful and did a great job.” • Current and former client conflicts of interest – H. Allen Black, Winston & Strawn LLP • Cybersecurity and ethics “All the speakers were terrific — crisp, to the point, very informative, Special Features very accessible for non-litigators. Well done!” • Earn three hours of Ethics credit – Thomas Dawson, Drinker Biddle & Reath LLP • Fully satisfy your annual New York MCLE Ethics and Skills requirement for newly admitted attorneys

Credit Offered: CLE, CPD, CPE (NASBA) and IAPP (Privacy) CPE Program Attorney: Justin Capuano New York & Live Webcast,* December 17, 9:00 a.m. – 12:30 p.m. ET New York, #252437 — Program Fee: $695; Course Handbook: #248291, $220

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 57 ETHICS/PROFESSIONAL RESPONSIBILITY / PRO BONO

PLI’s California MCLE Marathon 2019: Representing the Pro Bono Client: Current Developments in Legal Ethics – New York Public Assistance and Food Stamp Competence Issues – Elimination of Bias† Eligibility 2019† Chair Co-Chairs Merri A. Baldwin, Rogers Joseph O’Donnell, PC, San Francisco Don Friedman, Managing Attorney, Long Island Office, Empire Justice Center, Central Islip, NY California’s MCLE compliance deadline of February 1, 2020 is fast Tanya E.M. Wong, Director of Government Benefits, Legal Support Unit, approaching for Group 3 (attorneys with last names beginning with N-Z). Legal Services NYC, New York City You can satisfy all of California’s MCLE special requirements at this fast- paced and up-to-the-minute event! A faculty of outstanding California This program is designed to equip attorneys with a sharper understanding lawyers and other professionals — who are recognized leaders in their of the substantive law, strategies, procedures, and best practices relevant respective fields — will conveniently provide the California-required to their representation of low-income clients who seek government subjects that you need: four hours of Legal Ethics • one hour of dealing benefits such as public assistance and benefits under the Supplemental with competency issues in the legal profession, including stress and Nutrition Assistance Program (SNAP). These necessary benefits can be substance abuse, and • one hour of Elimination of Bias. difficult to access for many eligible applicants due to the complex rules All attorneys licensed to practice law in California, and particularly those governing public benefits. Attend this program to learn about eligibility whose last names begin with a letter from N through Z (Group 3), criteria as well as recent developments. should attend. Topics Include Topics Include • Eligibility for public assistance • Understand the thorny issues of privilege and confidentiality • Supplemental Nutrition Assistance Program (SNAP) eligibility • Recognize conflicts issues for in-house counsel • Work rules • Investigate the latest developments in attorney ethics and • Fair hearing strategies the law of lawyering • Recent developments • Examine the challenges to competent legal practice and Credit Available: CLE, CPD and NYS Social Work CE identify resources to help address these issues • Explore bias and diversity, as well as its impact on the legal profession Program Attorney: Ilizabeth Hempstead and workplace New York & Live Webcast,* July 9 Special Features New York, #251742 — Program Fee: $199 • Earn four hours of Ethics credit • Audience (live and Webcast) polling during the ethics and bias sessions which bring real-life hypothetical scenarios and thorny real-life ethical and bias/diversity issues to an entertaining and engaging level 22nd Annual Children’s Law Institute† Credit Available: CLE and CPD Co-Chairs Program Attorney: Laxmi Rees Zoë Allen, Director of Child Welfare Training, Juvenile Rights Practice, The Legal Aid Society, New York City San Francisco & Live Webcast,* December 12 Kelley Burns, Director of Training, Family Court, Legal Services, San Francisco, #252845 Legal Support and Training Unit, NYC Administration for Children’s Program Fee: $765; Course Handbook: #252846, $220 Services, New York City Tehra Coles, Litigation Supervisor, Center for Family Representation, New York City Whether representing children, parents or a child welfare or foster care Ethics for Corporate Lawyers 2019† agency, in private practice, government, public interest practice or as a policy advocate, the environment in which advocates operate is Chair increasingly complex. This year, PLI’s 22nd Annual Children’s Law David G. Keyko, Pillsbury Winthrop Shaw Pittman LLP, New York City Institute will focus on a variety of legal and social issues affecting child welfare and juvenile justice practice. At this unique interactive program, faculty will review various everyday ethical scenarios while you “vote” electronically with the rest of the Topics Include audience on the correct ethical responses. This program is designed for all • Legal issues and updates concerning child welfare law corporate lawyers, whether practicing in-house or in private practice. • Current legal issues and developments in juvenile justice practice Topics Include Special Feature • New developments in confidentiality, attorney-client privilege, and • Earn 1.5 hours of Ethics credit conflicts of interest Credit Available: CLE, CPD and NYS Social Work CE • In-house counsel vs. outside counsel responsibilities • Misrepresentation, fraudulent nondisclosure, and omissions Director, Programs: Krista M. Gundersen • Dealing with multi-entity enterprises New York, Live Webcast* & Groupcast Locations, July 12 • Duty of technological competence New York, #251761 • Atlanta, #267002 • Cincinnati, #267001 Credit Available: CLE, CPD and CPE (NASBA) Program Fee: $645; Course Handbook: #251762, $110 Senior Program Attorney: Janet L. Siegel New York, Live Webcast* & Groupcast Locations, December 17, Full scholarships, registration fee waivers, and discounts to 2:00 – 4:30 p.m. ET attend PLI programs are widely available to pro bono, nonprofit, New York, #248290 • Atlanta, #267211 • Cincinnati, #266932 • Cleveland, and legal services attorneys, as well as others who qualify for #267210 • Columbus, #267212 • Indianapolis, #267644 • Nashville, #266931 scholarship assistance. Please visit learning.pli.edu/scholarship Program Fee: $395; Course Handbook: #248291, $220 for additional details and to complete our brief application.

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Defending Immigration Removal Reentry in California – Overcoming Legal Proceedings 2019† Barriers to Community Reintegration 2019† Chair Chair Parisa Karaahmet, Fragomen, Del Rey, Bernsen & Loewy, LLP, Vinuta Naik, Staff Attorney and Clinical Supervisor, Clean Slate Practice, New York City East Bay Community Law Center, Berkeley, CA With the administration and the Department of Homeland Security focused In the past three decades, incarceration rates have exploded in the on enforcement and deportation initiatives, non-citizens facing removal U.S., more than any other country in the world. The result is that many are in need of competent and knowledgeable representation. Studies have more people encounter the criminal justice system at some point in their shown that those without legal representation face a significantly higher lives. Indeed, an estimated one in three adults (or eight million people) in risk of removal, regardless of eligibility for relief. In response to the acute California have an arrest or conviction record, and low-income people and need for trained attorneys to represent the record number of immigrants people of color are disproportionately affected. facing removal, prominent members of the bar and bench have called for A person with a prior record faces significant barriers to employment, more pro bono work to be done to fill the gap. At this program, expert occupational licensing, and other basic necessities like housing, even practitioners will provide a comprehensive, nuts-and-bolts overview of when the record is old or relatively minor. Now more than ever, immigrants how to most effectively represent immigrants facing removal proceedings face the threat of deportation based on criminal justice contacts as minor and related immigration relief that may be available. as an arrest that did not result in conviction. This training is designed to Topics Include give lawyers a foundation in the collateral consequences of contact with the criminal justice system, as well as tools for representing clients in need • Representation in immigration bond hearings of reentry legal services. • Recent developments in asylum law • The nuts and bolts of cancellation of removal Topics Include • Representing the criminal defendant in removal proceedings Walking the talk in allyship — how to effectively support criminal • Representing children in removal proceedings justice-impacted communities • Removing barriers to employment for criminal justice-impacted communities • Immigration updates for people Special Feature with criminal records • Fair Chance Housing advocacy strategies • Earn Ethics credit Credit Available: CLE and CPD Credit Available: CLE and CPD Senior Pro Bono Program Attorney: Christina Thompson Program Attorney: Ilizabeth Hempstead San Francisco & Live Webcast,* August 7, 9:00 a.m. – 3:40 p.m. PT New York & Live Webcast,* July 25 San Francisco, #248845 — Program Fee: $199 New York, #251788 — Program Fee: $199

Serving on a Nonprofit Board 2019: Practical Intimate Partner Violence and Technology and Ethical Considerations for Attorneys† Abuse 2019: Representing the Legal Services Client in the New York State Courts† Co-Chairs Nancy Eberhardt, Executive Director, Pro Bono Partnership, Chair White Plains, NY Terry Lawson, Director, Family and Immigration Unit, Bronx Legal Services, Courtney Darts, Legal Director, Pro Bono Partnership, White Plains, NY Bronx, NY Joining a nonprofit board can be one of the most personally and Electronic evidence plays an increasingly important role in cases involving professionally rewarding experiences of an attorney’s career. Whether intimate partner violence in legal services work. Understanding the current you’re an experienced attorney or just beginning to practice, serving on case law and ethics rules governing the use of electronic evidence is a nonprofit board can bring opportunities to deepen your skills, make therefore essential for legal services attorneys who represent clients in valuable connections, and help a cause that is personally meaningful these cases. Within the context of intimate partner violence, this training to you. will explore the many technologies utilized by legal services clients, the Serving on a Nonprofit Board 2019 will provide practical advice and New York ethics rules governing attorneys who are interacting with that review important ethical considerations for attorneys currently serving on electronic evidence, and the ways in which attorneys can realistically nonprofit boards or thinking about joining a nonprofit board. present evidence in the New York State courts, given the limited resources in most legal services offices. A mock trial at the conclusion of the Topics Include program will illustrate the correct use of electronic evidence in direct • Do your due diligence: the questions to ask and documents to request examination, cross-examination and voir dire. All legal services attorneys before you join a nonprofit board who represent clients in intimate partner violence cases and want to • Bring maximum value to your role — how to best assist your fellow enhance their litigation skills will benefit from attending this program. board members with business decisions, risk management, and Topics Include legal decisions Within the context of representing the legal services client, • What you must know about liability insurance and indemnification faculty will review: current and emerging technology and online content • Important ethics issues and concerns for attorneys who serve on • Relevant case law on electronic evidence under New York State and nonprofit boards federal law • New York ethics rules governing electronic evidence • Answers to your questions about the use of electronic evidence both at Credit Available: CLE, CPD and CPE (NASBA) pretrial and trial Senior Program Attorney: Janet L. Siegel Credit Available: CLE and CPD New York & Live Webcast,* July 31, 9:00 a.m. – 12:00 p.m. ET Senior Program Attorney: Janet L. Siegel New York, #248036 — Program Fee: $129 New York & Live Webcast,* August 8, 9:00 a.m. – 12:30 p.m. ET New York, #248030 — Program Fee: $129

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Bankruptcy Basics for Low-Income Clients Representing Children in Immigration 2019† Matters 2019: Effective Advocacy and † Chair Best Practices Sally J. Elkington, Elkington Shepherd LLP, Oakland, CA Co-Chairs Although the economy is improving and foreclosures in many parts of the Maureen Ketler Schad, Pro Bono Sr. Counsel, Norton Rose Fulbright, country are in decline due to rising home values, financially marginalized New York City people still file bankruptcy in disproportionate numbers. Many debtors Wendy Wylegala, Deputy Director for Legal Technical Assistance, are unrepresented and bankruptcy clinics are still in great demand. Kids in Need of Defense (KIND), New York City There is a critical need for pro bono attorneys to assist low-income clients Attorneys and other advocates who represent children in immigration at all levels. The practice of bankruptcy law is ever changing (all of the matters will learn about recent developments in law and policy with forms changed effective April 1, 2016) and can be quite complicated with regard to important protections available to immigrant children, focusing even the simplest form of bankruptcy, Chapter 7. This basic program on Special Immigrant Juvenile Status (SIJS) and asylum. Experienced was developed for brand new practitioners and those who are either not faculty will examine problem-solving strategies for addressing common familiar with the practice or have not practiced bankruptcy law since the issues that arise in children’s cases. This program will offer more passage of BAPCPA. The program hopes to develop practitioners who will advanced strategies and is designed for advocates with some experience volunteer their time and skills to those who cannot afford representation. representing children in immigration matters, but practitioners at all The program will focus on Chapter 7 bankruptcy, from the day a new experience levels should be able to benefit from this training. client walks into your office, to the day you receive notice that they have successfully received a discharge and their case is closed. Topics Include Topics Include • Important factors in establishing eligibility for Special Immigrant Juvenile Status (SIJS) An overview of Chapter 7 bankruptcy • Duties and due diligence of the attorney • How the discharge works and the effectiveness of the • Elements for building a successful asylum case on behalf of a child automatic stay • How to protect the debtor’s property through exemptions • Pursuing relief for children in removal proceedings • An overview of the means test for the low-income client • Issues in bankruptcy to be aware of and understand Credit Available: CLE, CPD and NYS Social Work CE Program Attorney: Ilizabeth Hempstead Credit Available: CLE and CPD Senior Pro Bono Program Attorney: Christina Thompson New York & Live Webcast,* September 18, 1:30 – 5:15 p.m. ET New York, #251977 — Program Fee: $129 San Francisco & Live Webcast,* September 11 San Francisco, #248857 — Program Fee: $199 New York Housing Law for the Low-Income Client 2019† Ethical Issues in California Pro Bono Chair † Lucy Newman, Staff Attorney, Law Reform Unit, Civil Practice, Representation 2019 The Legal Aid Society, New York City Chair This program provides an overview of New York law that affects many Tiela Chalmers, Chief Executive Officer and General Counsel, Alameda low-income tenants, including eligibility for subsidies, procedures for County Bar Association and Legal Access Alameda, Oakland, CA challenging denials and terminations of subsidies, an overview of New York City Housing Authority Administrative (NYCHA) administrative While the ethical obligations of pro bono legal practice are no different proceedings, and Housing Court practice and procedure basics. than those of a commercial law practice, there are practical considerations Whether you already work in this field or are considering taking a pro bono regarding eligibility of clients, challenging clients, conflicts (similar in case, you will benefit from this training. This is an area where capable theory, different in practice settings), expectations on both sides, case legal representation can help families save their homes and avoid the management responsibility, and different delivery models, such as limited displacement and disruption that results from eviction. scope representation, that cause many professionals to hesitate to offer pro bono legal services. This program is designed to answer questions Topics Include regarding the ethical obligations of pro bono legal service, encourage • Common New York State/City rental subsidies important to attorneys to engage in this professionally rewarding aspect of law practice, low-income clients and remove ambiguities that are barriers to engaging in pro bono • Housing Court: New York City Right to Counsel Law and practice tips legal services. for representing tenants Topics Include • New York City Housing Authority Administrative (NYCHA) policies and Experts in professional responsibility and in pro bono service from a administrative proceedings variety of practice settings, including law firm, in-house and nonprofit, will Credit Available: CLE, CPD and NYS Social Work CE discuss: application of the California Rules of Professional Conduct • ABA Model Rules of Professional Conduct • Proposed California Rules Program Attorney: Ilizabeth Hempstead of Professional Conduct • Basics of pro bono, including the definition New York & Live Webcast,* September 19, 1:30 – 5:00 p.m. ET of “pro bono” • Why pro bono is considered an important part of the profession • Professional responsibility concerns unique to pro bono New York, #251970 — Program Fee: $129 • Hypothetical fact patterns to illustrate the application of the rules

Credit Available: CLE and CPD Full scholarships, registration fee waivers, and discounts to Senior Pro Bono Program Attorney: Christina Thompson attend PLI programs are widely available to pro bono, nonprofit, San Francisco & Live Webcast,* September 12, and legal services attorneys, as well as others who qualify for 9:00 a.m. – 12:30 p.m. PT scholarship assistance. Please visit learning.pli.edu/scholarship San Francisco, #248851­­ — Program Fee: $199 for additional details and to complete our brief application.

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Representing the Pro Bono Client: Advocacy California Special Education Law 2019† † Skills for Administrative Hearings 2019 Chair Co-Chairs Elizabeth F. Eubanks, REZ Law Group, APC, Whittier, CA Lauren Hansen, Staff Attorney, Public Interest Law Project, Oakland, CA Over the last year, the Ninth Circuit has issued multiple decisions Carole Vigne, Senior Staff Attorney and Director, Wage Protection Program, addressing the rights of students with disabilities under the Individuals Legal Aid at Work, San Francisco with Disabilities Education Act and other disability rights statutes. The need for pro bono assistance with administrative hearings has never The California Special Education Law 2019 program will look at the current been higher. application of these decisions and of the 2017 Supreme Court decision, Endrew F. v. Douglas County School District, to evaluate the practical Many individuals who are entitled to desperately needed benefits but have implications they have on the current state of the practice of special had their benefits improperly denied, lowered, or terminated, or who are education law. able to pursue gainful employment but are denied the necessary license and/or clearance, or are not paid according to basic wage and hour laws, Topics Include cannot make it through the administrative hearing process on their own. • An in-depth look at assessments, independent educational evaluations, As a result, low-income families face the very real possibility of hunger, and the use of experts in special education cases homelessness, and overall family instability. • A review of the application of statute of limitations following the 2017 This training is designed to help mitigate the crisis faced by low-income Ninth Circuit decision, Avila v. Spokane School District families everywhere by providing attorneys with a basic understanding • A technical and substantive discussion of filing special of common issues and strategies in providing pro bono assistance with education-related issues in District Court administrative hearings. The program will focus on California law, but will • A year-in-review of Circuit Court decisions also cover many topics such as due process and other rights that apply • How FAPE is being interpreted after Endrew F. v. Douglas County nationwide; therefore, advocates from other forums will benefit from the School District information and attending the program. Credit Available: CLE and CPD Topics Include • An overview of administrative hearings low-income clients most Senior Pro Bono Program Attorney: Christina Thompson frequently need involving: San Francisco & Live Webcast,* October 2 ­ - State public benefits, including General Assistance, CalWORKs, CalFresh, Medi-Cal and Unemployment Insurance claims San Francisco, #248869 — Program Fee: $199 ­ - Federal public benefits, including Supplemental Security Income ­ - Federally assisted housing programs, including public housing and Housing Choice Voucher Program (HCVP or “Section 8”) Consumer Bankruptcy Cases 2019† ­ - Unpaid wages, and other wage and hour-related rights • Best practices and common advocacy strategies, preparation, and Co-Chairs procedures for administrative hearings, including: Rachel S. Blumenfeld, Law Office of Rachel S. Blumenfeld PLLC, ­ - Obtaining evidence: informal and formal discovery Brooklyn, NY ­ - Drafting position statements/hearing briefs Lori Lapin Jones, Lori Lapin Jones PLLC, Great Neck, NY ­ - Presenting your case at hearing Consumer bankruptcy lawyers are the solution for millions of individuals ­ - Alternatives: informal resolution facing financial difficulties. This half-day program will provide legal and • Rehearings and further appeals practical information for both experienced consumer bankruptcy lawyers • California law and practice specifics and lawyers who do not regularly practice in this field, but are finding an increasing need to understand essential information in this area. Credit Available: CLE and CPD The program will also feature an important review of recent cases Senior Pro Bono Program Attorney: Christina Thompson and hot topics, a discussion of best practices, an overview of creditor issues, and tips and traps for consumer lawyers. The program features a San Francisco & Live Webcast,* September 27, dynamic group of panelists, including two Chief Bankruptcy Judges, the 9:00 a.m. – 12:30 p.m. PT United States Trustee for Regions 1 and 2, Chapter 7 panel trustees, and San Francisco, #248863 — Program Fee: $129 experienced debtor and creditor attorneys. Topics Include • Views from the Bench: best practices for consumer bankruptcy lawyers “Thank you, very informative and enjoyed the diversity of panel participants areas of law.” • Views from the Office of the United States Trustee: role of the United States Trustee and current issues – Jacqueline Miller, Office of Clients’ Rights Advocacy, Tustin, CA • Tips and traps from the perspectives of Debtor’s attorney and “I’ve been so impressed with how well done PLI’s panel presentation CLEs Chapter 7 Trustee have been. This CLE was no exception.” • What creditors need to know in a Chapter 7 consumer case – Linda Jensen, Minnesota attorney • Recent case law and hot topics Credit Available: CLE and CPD ”Jam packed with good substantive information about the same type of law I do.” Program Attorney: Ilizabeth Hempstead – Donald Gotimer, Nassau County Department of Social Services New York & Live Webcast,* October 2, 9:00 a.m. – 12:45 p.m. ET New York, #248638 — Program Fee: $129

Full scholarships, registration fee waivers, and discounts to attend PLI programs are widely available to pro bono, nonprofit, and legal services attorneys, as well as others who qualify for scholarship assistance. Please visit learning.pli.edu/scholarship for additional details and to complete our brief application.

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The Art & Science of Interviewing Pro Bono Advocating for Veterans: The Basics on VA Clients 2019 Benefits, Discharge Upgrades and Veteran † Instructor Cultural Competency 2019 Alicia Aiken, Director, Confidentiality Institute, Principal, Danu Center for Co-Chairs Strategic Advocacy, and PLI Interactive Learning Center Faculty Fellow, Evanston, IL Elizabeth A. Hom, Program Supervisor, Office of Access & Inclusion, The State Bar of California, San Francisco Asking the right questions in the right way can start your attorney-client Evan Seamone, Legal Director, Swords to Plowshares, San Francisco relationship off on the right note and prevent unnecessary frustration. This skill is especially important when working with pro bono clients There are over 21 million veterans in the U.S.; many of them are not aware who have had limited experience with the legal system or face other of the benefits to which they are entitled. Both medical and financial barriers. PLI’s massive open online course (MOOC) is designed for anyone assistance are available to those who have served in the military, but many who wants to learn more about how to master the art and science of veterans most in need are not receiving VA benefits. Navigating the VA interviewing pro bono clients. All attorneys assisting pro bono clients claims system and applying for discharge upgrades before the Department through representation or in clinical settings, firm pro bono coordinators of Defense are difficult and complex processes. Attorneys play an and partners, corporate law department pro bono managers, law clinic essential role in removing barriers to VA benefits, such as: students and faculty, and public interest and nonprofit organization • Lack of evidence to “service-connect” their injuries or disabilities attorneys and staff will benefit from participating in this program. • Lack of current medical or mental health evidence documenting severity of symptoms for accurate disability ratings Topics Include • VA eligibility determinations for those given less-than-fully-honorable • How to collect information, including framing your interview questions discharges for behaviors that were related to minor disciplinary and responding to your client’s answers, identifying behaviors to use infractions or symptoms of post-traumatic stress or other and avoid when interviewing clients, and creating an environment where service-related disabilities your client feels comfortable sharing the truth about their case • How to prepare properly for client interviews and ask the right questions Topics Include • Third-party basics, including identifying when a third party is covered by Nearly 45% of veterans returning from Iraq and Afghanistan seek privilege, communicating the implications of a third-party presence to compensation from the Department of Veterans Affairs (VA) for your client, and controlling the interview when a third party is present service-related injuries; 30% of these veterans who file for VA benefits include claims for post-traumatic stress. Many of those who should Credit Available: CLE and CPD receive benefits will be denied. Many service members who may be VA Senior Program Attorney: Janet L. Siegel eligible are unaware of their legal right to pursue VA benefits, and of those who do apply, more than 90% will be denied. All of them will wait Online course, October 21-25 months or years for the VA to issue decisions on their claims. Learn how to Program #260751 — Program Fee: $25 navigate the VA claims process and to become an effective advocate for veterans in need. This all-day program will provide: • An overview of VA disability law and military discharge review law Nonprofit Organizations 2019: Governance, • An understanding of different types of military discharges, why they are Reporting, and Compensation Issues† important, and how you can help veterans with less-than-honorable discharges Chair Credit Available: CLE and CPD Seth Perlman, Perlman & Perlman, LLP, New York City Senior Pro Bono Program Attorney: Christina Thompson This program will address the unique regulatory issues that impact the nonprofit sector. Expert faculty will discuss best practices, compliance San Francisco & Live Webcast,* November 1 issues, and reporting obligations, and also help you stay current with the San Francisco, #248875 — Program Fee: $199 latest developments and complex rules governing the nonprofit sector. Attorneys who represent nonprofit organizations, work for a nonprofit organization, or serve (or would like to serve) on a nonprofit board will benefit from this program. “Fantastic program that should be disseminated to every attorney and veteran in this country.” Topics Include – Elizabeth Barbanes, Westchester County Government • Governance and conflicts of interest compliance: regulations, enforcement and standards of accountability “For years I had been seeking guidance in this area of the law and have • Compensation, excess benefit, and employment issues never before received such a wonderful, interesting and complete CLE in • Financial reporting issues and best practices this topic. Thank you very much and keep up the good work.” • Charitable solicitation regulation and reporting – Mireya Baltazar-Suazo, Abogados America Law Offices

Credit Available: CLE, CPD, CPE (NASBA) and IRS-CE “Outstanding faculty. One of the best programs you have presented.” Program Attorney: Ilizabeth Hempstead – George Powell, Akerman LLP New York, Live Webcast* & Groupcast Locations, “The speakers were excellent — concise, focused, substantively October 30, 9:00 a.m. – 12:45 p.m. ET informative and practical. It was an excellent program. Kudos and great job.” New York, #251984 • Cleveland, #267191 • Columbus, #267192 Program Fee: $595; Course Handbook: #252012, $110 – Giovanna Cinelli, Morgan, Lewis & Bockius LLP

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Limited Scope Representation 2019: Prison Law 2019† † Ethical & Practical Challenges Chair Chair Margo Schlanger, Wade H. and Dores M. McCree Collegiate Professor of Law, University of Michigan Law School, Ann Arbor, MI Philip M. Genty, Everett B. Birch Innovative Teaching Clinical Professor in Professional Responsibility, Columbia Law School, New York City In an area where advocates face increasingly challenging legal issues, whether they represent incarcerated individuals from a public interest To respond to the access-to-justice crisis facing the legal system, practice, private practice or as a policy advocate, and where government the civil legal services community and the judiciary have partnered in lawyers also grapple with complex concerns, PLI’s Prison Law program the expansion of services based on limited scope representation. As offers a unique focus on evolving prison law issues. This program is a community, we have extensive experience now with limited scope designed for lawyers who represent incarcerated persons or who work representation models. Various models with many technology-assisted with respect to prison conditions and prisoner treatment. Prisoners’ rights interventions are being developed, and information tables, drop-in advocates, as well as lawyers or law students considering pro bono legal clinics, websites and help lines have expanded. Limited Scope representation or who want to hear about the legal issues that arise in will focus on how these models employ best Representation 2019 connection with state and federal prison populations, will find this program practices to respond to common ethical issues and problems that arise. especially valuable. This program is designed for judiciary and court personnel interested in making sure there are adequate safeguards for unrepresented litigants Topics Include seeking help from a limited scope representation program, as well as • Litigation strategies and common challenges attorney volunteers and pro bono coordinators involved in limited scope • Update regarding key issues concerning prison conditions and representation programs. treatment of incarcerated persons Topics Include • Ethical issues that arise in prison litigation or representation • Update on ethical issues in limited scope representation, including Credit Available: CLE, CPD and NYS Social Work CE communication, scope, competence, candor before the tribunal, ghostwriting and conflicts Program Attorney: Ilizabeth Hempstead • Best practices to respond to the everyday ethics challenges in New York & Live Webcast,* November 22 limited scope programs New York, #252024 — Program Fee: $199 Special Feature • Earn up to two full hours of Ethics credit Credit Available: CLE and CPD Ethical Issues in Pro Bono Representation Senior Program Attorney: Janet L. Siegel 2019† New York & Live Webcast,* November 14, 9:00 – 11:10 a.m. ET New York, #248264 — Program Fee: $99 Chair Louis S. Sartori, Director, Pro Bono Practice, The Legal Aid Society, New York City “One of the more helpful CLEs I’ve watched. Thank you for your time!!” Using a lively, interactive format, Ethical Issues in Pro Bono – Joe Cassidy-Schaffer, Legal Aid Society of Rochester, New York Representation 2019 will examine everyday issues of ethics and professional responsibility in pro bono and public interest practice. “Super important topic and very helpful.” This program is designed for all attorneys working in nonprofit and legal – Stephen Chen, Proofpoint, Inc. service organizations, as well as those involved in pro bono practice in law firms and corporate legal departments. “Great panel — well versed in the topic. Q & A format was interesting.” – Sarah Rebosa, Cullen and Dykman LLP Topics Include Within the context of pro bono representation, using “all-new” hypotheticals as the basis of discussion, this program will review issues concerning: • Who is the client? • Conflicts of interest • Representing clients with diminished capacity • Limited scope representation: how it works for both firm and in-house counsel Credit Available: CLE and CPD Senior Program Attorney: Janet L. Siegel New York & Live Webcast,* December 12, 9:00 – 11:10 a.m. ET New York, #248269 — Program Fee: $129

Full scholarships, registration fee waivers, and discounts to attend PLI programs are widely available to pro bono, nonprofit, and legal services attorneys, as well as others who qualify for scholarship assistance. Please visit learning.pli.edu/scholarship for additional details and to complete our brief application.

Table of Contents | Register/Order Online at www.pli.edu/FDY9 | 63 GAIN A COMPETITIVE General Information Payment Policy: Registration fees are due in advance. Attendees may pay

ADVANTAGE WITH PLI’S by check, Visa, MasterCard, American Express or Diners Club. Cancellations: All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted INTERACTIVE time period, payment is due in full. You may substitute another individual to attend the program at any time. PLI Scholarships: PLI is pleased to make scholarships available for our live, LEARNING Webcast, and On-Demand programs (exceptions: SEC Institute and Patent Office Exam Course). To apply, visit learning.pli.edu/scholarship PLI Group Discounts: Groups of 4 or more from the same organization, all registering at the same time, for a PLI program scheduled for presentation CENTER at the same site, are entitled to receive a group discount. For further discount information, please contact [email protected] or call The latest innovations in interactive technology and 800.260.4754. research-based instructional design come together Credit Information: PLI programs offer CLE credit in all U.S. jurisdictions in our award-winning Interactive Learning Center that have mandatory CLE requirements. Please check www.pli.edu/credit for credit details, eligibility and approval status for your particular (ILC). Learn by doing with professionally produced jurisdiction(s). real-world scenarios. CPE Credit: Practising Law Institute is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. ACCOUNTING/FINANCE For PLI’s official National Registry Statement, please visit • Financial Statements Game PLI’s Credit Information page at www.pli.edu/credit Special Needs: If you have special needs as addressed by the Americans with Disabilities Act, please notify Customer Service at least LITIGATION two weeks prior to your program. • Internal Investigation Game PLI’s Nationally Acclaimed Course Handbooks Are Now Available Online • Mastering Negotiations: The Significance of Planning to All Attendees! Our Course Handbooks represent the definitive thinking of the nation’s finest legal minds, and are considered the and Preparation standard reference in the field. The Handbooks are prepared specifically • PLI’s Trial Advocacy Training Program for each program and also stand alone as permanent references. Each Course Handbook will be available online several days prior to PATENT the program! • Patent Law Practice: Learn to Be a Successful To Purchase and Participate in Webcasts: Visit www.pli.edu and click “Webcasts” and select the program you wish to attend. If you have not Patent Practitioner already personalized the website, you will be prompted to log in and provide a User ID and Password. Keep this information to log on to view PRIVACY & CYBERSECURITY the Webcast. It is recommended that you register before the program date • Cybersecurity: Data Breach Scenario to allow time to test your system. On the date of the Webcast, click into the Account area on the navigation bar where a link to the Webcast will be provided. Webcast participants will receive streaming audio and video of the PROFESSIONAL SKILLS program, have the ability to view and print the Course Handbook and submit • Building Trust: Client Confidentiality and questions electronically. Each Webcast is for use by only one viewer. Attorney Privilege PLI Can Arrange Group Viewing in Your Firm by Broadcasting Live to Your Conference Room. Contact the Groupcasts Department via email at • How to Compete for Business in Changing Times [email protected] for more details. • Improving Law Firm Profitability PLI Bookstores: Current Publications, Training Materials and related • Legal Process Improvement products are available for purchase at the PLI New York Center, 1177 Avenue of the Americas, entrance on 45th Street (2nd floor), • Motivated Reasoning and Legal Ethics New York, NY, and at the PLI California Center, 685 Market Street, • Time Management for Lawyers Suite 100, San Francisco, CA, Monday to Friday, 10:00 a.m. – 4:00 p.m. All PLI Publications can also be purchased online at www.pli.edu PRO BONO Sales Tax: If applicable, sales tax will be added to the price of Publications. • The Art & Science of Interviewing Pro Bono Clients Quantity Order Discounts: For information, please contact PLI’s Customer Service Department at 800.260.4754. • Effective Communication with the Legal Services Client Please note: Dates, locations and prices are subject to change. • Introduction to Pro Bono • Representing Domestic Violence Survivors in Court • Working with Survivors of Domestic Violence Programs available at www.pli.edu/programs/interactivelearningcenter

64 | To Register/Order, Call 800.260.4754 | Table of Contents INDEX

15th Annual SEC Reporting & FASB Forum for Mid-sized & Smaller Companies...... 23 Global Data Protection Boot Camp 2019...... 45 19th Annual Municipal Law Institute...... 27 Government Contracts 2019...... 8 21st Annual Commercial Real Estate Institute...... 30 Hedge Fund and Private Equity Enforcement & Regulatory Developments 2019...... 10 21st Annual Supreme Court Review...... 47 Hedge Fund Management 2019...... 6 22nd Annual Children’s Law Institute...... 58 Hot Issues in Executive Compensation 2019...... 7 24th Annual Consumer Financial Services Institute (2019)...... 51 Hot Topics for In-House Counsel 2019...... 15 35th Annual SEC Reporting & FASB Forum...... 23 Hot Topics in Electronic Discovery 2019...... 49 36th Annual Section 1983 Civil Rights Litigation...... 50 Hot Topics in Health Care Law 2019...... 53 37th Annual Institute on Telecommunications Policy & Regulation...... 46 Hot Topics in Mergers & Acquisitions 2019...... 7 50th Annual Estate Planning Institute...... 55 Implementing the FASB/IASB New Revenue Recognition Standard Workshop 2019...20 51st Annual Institute on Securities Regulation...... 14 Implementing the FASB’s New Financial Instrument Standard on 52nd Annual Immigration & Naturalization Institute...... 54 Credit Losses (CECL) Workshop 2019...... 21 Accounting for Business Combinations Workshop 2019...... 19 Implementing the FASB’s New Hedge Accounting Standard Workshop 2019...... 20 Advanced Compliance and Ethics Workshop 2019...... 18 Implementing the FASB’s New Lease Accounting Standard Workshop 2019...... 22 Advanced Patent Licensing 2019...... 43 Insider Trading Law 2019...... 50 Advanced Patent Prosecution Workshop 2019...... 41 Intellectual Property Law Institute 2019...... 36 Advanced Swaps & Other Derivatives 2019...... 12 International Tax Issues 2019...... 24 Advanced Venture Capital 2019...... 13 Internet of Things 2019...... 35 Advertising Law Institute 201...... 35 Intimate Partner Violence and Technology Abuse 2019...... 59 Advocating for Veterans...... 62 The Law and Business of Open Source Software 2019...... 40 Alternative Finance Summit 2019...... 4 Life Sciences 2019...... 52 Annual Disclosure Documents 2019...... 16 Limited Scope Representation 2019...... 63 Antitrust Counseling & Compliance 2019...... 53 MD&A In-Depth Workshop 2019...... 22 The Art & Science of Interviewing Pro Bono Clients 2019...... 62 Negotiation Workshop for Lawyers 2019...... 47 The Attorney-Client Privilege and Internal Investigations 2019...... 56 New Developments in Securitization 2019...... 26 Bank Fiduciary Activities and Collective Investment Funds 2019...... 14 New York Housing Law for the Low-Income Client 2019...... 60 Banking Law Institute 2019...... 26 Nonprofit Organizations 2019...... 62 Bankruptcy Basics for Low-Income Clients 2019...... 60 Nuts and Bolts of Corporate Bankruptcy 2019...... 27 Basics of Accounting for Lawyers 2019...... 18 Nuts and Bolts of Medicare and Medicaid 2019...... 52 Basics of International Taxation 2019...... 24 Ohio New Lawyers Training 2019...... 56 Blockchain 2.0...... 37 Online Platforms 2019...... 40 Bridge-the-Gap...... 55 Open Source Software 2019 ...... 37 Bridge-the-Gap I...... 55 Outsourcing 2019...... 9 Bridge-the-Gap II...... 56 Patent Fundamentals Bootcamp 2019...... 42 Broker/Dealer Regulation and Enforcement 2019...... 10 Patent Litigation 2019...... 43 Building Better Construction Contracts 2019...... 30 Patent Office Exam Course 2019...... 41 California Special Education Law 2019...... 61 Patenting the Blockchain 2019...... 44 Communications Law in the Digital Age 2019...... 46 PLI’s California MCLE Marathon 2019...... 58 Compliance & Ethics Essentials 2019...... 3 Pocket MBA 2019...... 9 Consumer Bankruptcy Cases 2019...... 61 Preparing for Shareholder Activism ...... 11 Coping with U.S. Export Controls and Sanctions 2019...... 17 Prison Law 2019...... 63 Corporate Political Activities 2019...... 5 Reentry in California...... 59 Corporate Political Law Compliance 2019...... 5 Representing Children in Immigration Matters 2019...... 60 Corporate Whistleblowing in 2019...... 28 Representing the Pro Bono Client: Advocacy Skills for Cutting-Edge Employment Law Issues 2019...... 28 Administrative Hearings 2019...... 61 Cybersecurity 2019...... 36 Representing the Pro Bono Client: New York Public Assistance and Defending Immigration Removal Proceedings 2019...... 59 Food Stamp Eligibility 2019...... 58 Developments in Pharmaceutical and Biotech Patent Law 2019...... 44 SEC Reporting and Practice Skills Workshop for Lawyers 2019...... 8 Electronic Discovery Nuts & Bolts 2019...... 48 SEC Reporting Skills Workshop for Financial Professionals 2019...... 19 Employment Law Institute 2019...... 29 Securities Arbitration 2019...... 48 Environmental Regulation 2019...... 54 Securities Law and Practice 2019...... 11 ERISA 2019...... 29 Securities Offerings 2019...... 13 Ethical Issues in California Pro Bono Representation 2019...... 60 Serving on a Nonprofit Board 2019...... 59 Ethical Issues in Pro Bono Representation 2019...... 63 Seventeenth Annual Directors’ Institute on Corporate Governance...... 15 Ethics and Conflicts of Interest in Law Practice 2019...... 56 Staying Out of Trouble 2019...... 57 Ethics for Corporate Lawyers 2019...... 58 Storming the Gatekeepers...... 5 Ethics in Banking and Financial Services 2019...... 57 Tax Strategies for Corporate Acquisitions, Dispositions, Spin-Offs, Joint Ventures, The Ethics of Electronic Information 2019...... 57 Financings, Reorganizations & Restructurings 2019...... 25 Financial Services RegTech and Regulatory Compliance Forum 2019...... 16 “Technotainment” 2019...... 39 FinTech 2019...... 25 Think Like a Lawyer, Talk Like a Geek 2019...... 38 Form 10-K In-Depth Workshop 2019...... 21 Trade Secrets 2019...... 38 Form 20-F In-Depth Workshop 2019...... 23 Trial by Jury 2019...... 51 Fund Finance 2019...... 17 Trial Evidence 2019...... 50 Fundamentals of Broker-Dealer Regulation 2019...... 4 Twentieth Annual Private Equity Forum...... 2 Fundamentals of Copyright Law in the Data Era 2019...... 34 Understanding the Intellectual Property License 2019...... 39 Fundamentals of Investment Adviser Regulation 2019...... 2 Understanding the Securities Laws 2019...... 3 Fundamentals of Privacy Law 2019...... 45 USPTO Post-Grant Patent Trials 2019...... 42 Fundamentals of Swaps & Other Derivatives 2019...... 12 White Collar Crime 2019...... 49 Fundamentals of Trademark Law in the Global Marketplace 2019...... 34 Women Lawyers in Leadership 2019...... 31 Global Asset Management 2019...... 6 Workplace Accommodation and Leave Challenges 2019...... 28 Writing for Litigators 2019...... 31

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