InstructorTerri Hays
TypeOnline Course
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Tuition Options


PracticeEdge Elite™

Standard Tuition $400 US

Senior Fellow William Johnson, JD, Partner, King & Spalding

Regulatory Agencies have been active in the securities and commodities enforcement area in recent times. There are number of developments, trends and priorities emerging from the work of these agencies. Among these are: (1) targeted areas of enforcement for the SEC’s Asset Management Unit; (2) developments in the scope of insider trading liability for tippees (including both judicial and legislative aspects); (3) the continued impact of whistleblowers on enforcement programs and internal corporate compliance management; (4) the SEC’s increased use of the administrative forum for litigating enforcement actions, which has resulted in more frequent due process and constitutional challenges; (5) emerging trends in high frequency trading enforcement; and (6) inflation of penalties required to resolve high-profile enforcement matters involving entities. As 2015 rolls into its latter half, this panel will explore and highlight the significance of each of these important areas for industry participants and outside counsel.

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Students shall learn the following within this Course:


  • Outline the latest developments, trends and priorities in regulatory enforcement actions, including penalty inflation.
  • SEC’s Asset Management Unit – Differentiating Priorities for 2015
  • Continued Focus on Insider Trading – Newman and a legislative fix?
  • Whistleblowers – Defining their increased importance in the referral of cases and in how entities handle whistleblower allegations
  • High Frequency Trading – Outlining increased enforcement activity – are there trends developing?
  • Increased Use of Administrative Forum for Litigation of Disputes – The increased challenge to due process and constitutionality


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Senior Fellow from Practice:

  • William Johnson, JD, Partner, King & Spalding

Guest Lecturers:

  • Christopher Conniff, JD, Partner, Ropes & Gray
  • Michael Friedman, JD, General Counsel & CCO, Trillium
  • Kirk Rule, JD, General Counsel & CCO (Former), Kensai Asset Management
  • Valerie Szczepanik, JD, Assistant Director, Asset Management Unit, Enforcement, SEC

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Accreditation Information

CLE Information

Credit Hours: 4
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information

CPE Information

Credit Hours: 6
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information


Course ID Number:  8640


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Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

Arizona: Does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. RCA programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.

New Hamphsire: The approval is for three years from recorded date.

New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.

New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.

North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.

Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.

Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.

Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.

Tennessee: The approval is for the calendar year in which the live program was presented.

Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

If applicable, the RCA will apply for credit in your state upon request.