PLI PLUS 2.0 is now available – click
here
to test drive the new platform.
Skip to main content
Create Account
Training Center
Contact Us
Questions? Comments?
Contact us.
Email:
PLUS@pli.edu
Phone:
877.900.5291
PLI.edu
SIGN IN
Search
Browse
All Content
Books
- Answer Books
- Course Handbooks
- Journals
- Insights
- Treatises
Forms & Checklists
Transcripts
My Bookshelf
My History
< Back To Results
1 in 13634 results
Previous Result
Next Result
Understanding Financial Products 2021
Chair(s):
GuyLaine Charles, Stephanie R. Breslow
Practice Area:
Banking and finance,
Financial products
Published:
Jan 2021
i
Other versions can be found in the
Related Items
tab.
ISBN:
9781402438073
PLI Item #:
306361
CHB Spine #:
B2621
This version is not current.
Click here for the most recent version.
Search
Email
Print
Add To Bookshelf
Permalink
Table of Contents
Related Items
Select All
Front Matter
Faculty Bios
Table of Contents
Chapter 1. Henry Bregstein, Wendy Cohen, Allison Yacker and Lance Zinman, Katten, Alternative Funds, Chambers Global Practice Guides 2020
Chapter 2. Congressional Research Service, Who Regulates Whom? An Overview of the U.S. Financial Regulatory Framework, CRS Report 44918, Prepared for Members and Committees of Congress, Version 7 (Updated March 10, 2020)
Chapter 3. Chairman Jay Clayton, Dalia Blass, Director, Division of Investment Management; William Hinman, Director, Division of Corporation Finance; Brett Redfearn, Director, Division of Trading and Markets, U.S. Securities and Exchange Commission, Joint Statement Regarding Complex Financial Products and Retail Investors (October 28, 2020)
Chapter 4. Covington & Burling LLP, President Trump Issues Executive Order Prohibiting Transactions Involving Publicly Traded Securities of “Communist Chinese Military Companies” (November 16, 2020)
Chapter 5. Exec. Order No. 13959, 85 Fed. Reg. 73185, No. 222 (November 12, 2020)
Chapter 6. Overview: Over-the-Counter Derivatives, Bloomberg Law (May 2020)
Chapter 7. Overview: Forward Settling Securities Transactions and the Master Securities Forward Transaction Agreement (“MSFTA”), Bloomberg Law (May 2020)
Chapter 8. Valuation in the Context of Derivatives Litigation
Chapter 9. Overview: Credit Support Annex, Bloomberg Law (July 2020)
Chapter 10. Overview: The ISDA Master Agreements, Bloomberg Law (May 2020)
Chapter 11. Comparison Table: 1994 ISDA Credit Support Annex (Security Interest–New York Law) and the 2016 Credit Support Annex for Variation Margin (Security Interest–New York Law), Bloomberg Law (May 2020)
Chapter 12. Drafting Guide: ISDA 1994 Credit Support Annex Paragraph 13, Bloomberg Law (May 2020)
Chapter 13. Drafting Guide: Schedule to the 2002 ISDA Master Agreement, Bloomberg Law (May 2020)
Chapter 14. U.S. Securities and Exchange Commission, Structured Notes with Principal Protection: Note the Terms of Your Investment (June 2, 2011)
Chapter 15. U.S. Securities and Exchange Commission, Investor Bulletin: Structured Notes (January 12, 2015)
Chapter 16. U.S. Securities and Exchange Commission, Report Summary Letter from Chairman Jay Clayton and Chief Economist S.P. Kothari
Chapter 17. S.P. Kothari, Dalia Blass, Alan Cohen, Sumit Rajpal and the SEC Research Staff, U.S. Securities and Exchange Commission, Division of Economic and Risk Analysis, U.S. Credit Markets: Interconnectedness and the Effects of the COVID-19 Economic Shock (October 2020)
Chapter 18. Chairman Jay Clayton, U.S. Securities and Exchange Commission, Capital Markets and Emergency Lending in the COVID-19 Era, Testimony before the Investor Protection, Entrepreneurship, and Capital Markets Subcommittee, U.S. House Committee on Financial Services, Washington, D.C. (June 25, 2020)
Chapter 19. Office of the Comptroller of the Currency, National Risk Committee, Semiannual Risk Perspective (Fall 2020)
Chapter 20. Drafting Guide: Form of Amendment to Master Securities Forward Transaction Agreement to Conform with FINRA 4210 (the “4210 Amendment”), Bloomberg Law (May 2020)
Chapter 21. Drafting Guide: Annex I to the Master Securities Forward Transaction Agreement (the “MSFTA”), Bloomberg Law (May 2020)
Chapter 22. The Need for a Dialogue between Crypto Businesses and Regulators
Chapter 23. SEC v. KIK Interactive Inc., 19 Civ. 5244 (AKH) (S.D.N.Y. 2020)
Chapter 24. SEC v. W.J. Howey Co., 328 U.S. 293 (1946)
Chapter 25. Cary J. Meer, Marc Mehrespand, Anthony R.G. Nolan and Lawrence B. Patent, K&L Gates LLP, Legal Insight, CFTC Classifies Certain Securitization Vehicles as Not Being Commodity Pools (December 21, 2012)
Chapter 26. K&L Gates LLP, The Apotheosis of Apollo: Creating a Solar Securitization Market in the United States (December 2012)
Chapter 27. K&L Gates LLP, Regulation AB II: Second Time’s the Charm? (September 19, 2014)
Chapter 28. Anthony R.G. Nolan, and Yuki Sako, K&L Gates LLP, New Japanese Securitization Risk Retention Rule and Its Impact on CLO Investors in Japan (May 22, 2019)
Chapter 29. C. Todd Gibson, et al., K&L Gates LLP, Volcker Revamp Viewed Vividly: What You Need to Know About the Agencies’ Proposal to Modify Restrictions on Covered Funds (March 16, 2020)
Chapter 30. Daniel F.C. Crowley, et al., K&L Gates LLP, COVID-19: The Federal Reserve Establishes Three New Liquidity Facilities and Expands the Scope of Two Existing Liquidity Facilities (March 23, 2020)
Chapter 31. U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Mutual Funds and ETFs: A Guide for Investors, SEC Pub. 182 (December 2016)
Chapter 32. U.S. Securities and Exchange Commission, Mutual Funds and Exchange-Traded Funds (ETFs)—A Guide for Investors (Modified January 26, 2017)
Chapter 33. Paul Hastings LLP, Stay Current, SEC Adopts Long Awaited “ETF Rule” (September 2019)
Chapter 34. Responsible Investing: Legal and Compliance Considerations for Asset Managers, The Review of Securities & Commodities Regulation, Vol. 52, No. 22 (December 18, 2019)
Chapter 35. Daniel Hunter, Schulte Roth & Zabel, Introduction to Fund and Management Company Structures (October 2, 2019)
Chapter 36. Jennifer Dunn, Schulte Roth & Zabel, Bootcamp 2019 Hedge Fund Terms: Liquidity, Special Investments and Fees (October 4, 2019)
Chapter 37. Peter Naismith, Schulte Roth & Zabel, Introduction to Types of Hedge Funds (Investment Programs, Risks, and Terms) (October 10, 2019)
Chapter 38. Omoz Osayimwese, Schulte Roth & Zabel, 2019 IM Boot Camp—Introduction to Private Equity Funds (October 10, 2019)
Chapter 39. David Nissenbaum, Schulte Roth & Zabel, Investment Management Boot Camp Offshore Funds: Structure, Regulatory Issues and Documentation (October 2, 2019)
Chapter 40. Kenneth S. Gerstein and Paul Rissman, Opinion, Do Your Advisers Consider Material ESG Risks?, Board iQ, a Service of the Financial Times (April 23, 2019)
Chapter 41. Hamlin Lovell, ESG Investing: Growing and Evolving with Schulte Roth & Zabel’s Stephanie Breslow, The Hedge Fund Journal, Issue 146 (January 2020)
Chapter 42. Schulte Roth & Zabel LLP, Alert, New ESG Disclosure Obligations to Take Effect in March 2021 (March 2, 2020)
Chapter 43. Anna Maleva-Otto and Joshua Wright, New ESG Disclosure Obligations, Harvard Law School Forum on Corporate Governance (March 24, 2020), available at: https://corpgov.law.harvard.edu/2020/03/24/new-esg-disclosure-obligations/
Chapter 44. Nicole Arrow and Dietrich Knauth, OCIE’s Targeting of ESG Investing Practices in Recent Examinations and What It Means for Hedge Fund Managers, Hedge Fund Law Report (June 11, 2020)
Chapter 45. Schulte Roth & Zabel LLP, Alert, Public Disclosure of Sustainable Investment and Shareholder Engagement Policies (November 5, 2020)
Chapter 46. Overview: NAESB Contract for the Sale and Purchase of Natural Gas, Bloomberg Law (May 2020)
Chapter 47. Drafting Guide: Cover Page to the NAESB Contract, Bloomberg Law (May 2020)
Chapter 48. Ethical Considerations for Practice in 2021: A Primer
Chapter 49. Pennsylvania Bar Association, Committee on Legal Ethics and Professional Responsibility, Formal Opinion 2020-300 (April 10, 2020)
Chapter 50. Order Denying Motion to Exclude, Wadler v. Bio-Rad Laboratories Inc., et al., No. 15-cv-02356-JCS (N.D. Cal. 2016)
Index
About Us