TypeOnline Course
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PracticeEdge Elite™

Standard Tuition $400 US

Senior Fellow Nathan Greene, JD, Partner, Shearman & Sterling

The Securities and Exchange Commission will be overhauling its Form ADV requirements this year, with significant new elements that take effect October 1, 2017. Form ADV is the principal regulatory filing for SEC-registered investment advisers (and for so-called “exempt reporting advisers”), so that understanding the new version of the form is critical. There is time to act, but many to-do’s follow from the new requirements.

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Participants will master the following within this class session:

  • Inventory new public disclosures required for investment adviser SMA businesses
  • Relate new leverage and derivatives disclosures to existing Form PF requirements
  • Assess new “umbrella registration rules” that will govern how related advisers are treated by Form ADV
  • Identify which changed Form ADV questions affect your firm
  • Review how US versus non-US firms are affected
  • Develop an implementation plan for the new form


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Senior Fellow From Practice:

  • Nathan Greene, JD, Partner, Shearman & Sterling

Guest Lecturers:

  • John Reiss, JD, Counsel, Shearman & Sterling
  • Lawrence Griffin, JD, GC and CCO, Legal & General Investment Mgmt America, Inc.
  • Mark Klein, JD, GC and CCO, Marketfield Asset Management


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Accreditation Information

CLE Information

Credit Hours: 2
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information

CPE Information

Credit Hours: 3
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information


Course ID Number:  8577


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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.