Securities Laws

Session 5: The 4 C’s Facing Registered Investment Advisers: Custody, Cross-Trades, Conflicts and Compliance – That’s Yours, This is Mine (Fall 2017)

September 26, 2017 by CJ Marchain

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Session 6: Other Forms of Debt Investments: Public Bonds, 144As, Reg S, Bank Loans (Fall 2016)

September 25, 2016 by CJ Marchain

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December 2015 CLE Event – Insider Trading and The Newman Case

November 30, 2015 by CJ Marchain

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