InstructorTerri Hays
TypeOnline Course
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Tuition Options


PracticeEdge Elite™

Standard Tuition $400 US

Senior Fellow Chris Wells, JD, Partner, Proskauer

This course will discuss current SEC, CFTC and NFA examination priorities and experiences. Key examination priorities identified in recent announcements by the SEC staff include conflicts of interest; dual registrants; custody; valuation; managers advertising under Rule 506(c); past performance reporting; marketing; trade allocations; fund expenses; and technology.

This course will discuss the SEC’s presence exam program and its never before examined adviser program, with particular focus on recent experiences of advisers being examined. ThE course will also discuss potential future SEC and NFA examination priorities, such as high speed trading, quantitative trading models and cybersecurity.

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Students shall learn the following within this Course:

  • Actions to be considered by private funds in connection with ongoing regulatory compliance.
  • Reviewing filing obligations and annual reviews.
  • Review of SEC examination priorities (including allocation of fees and expenses, broker-dealer issues, and conflicts of interest).
  • The importance of SEC preparedness and involvement of management.
  • Recent SEC Guidance and Areas of focus – conflicts of interest, custody and disclosure in documents.

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Senior Fellow:

  • Chris Wells, JD, Partner, Proskauer

Guest Lecturers:

  • Catherine Smith, JD, General Counsel, Guidepoint Global
  • Mark Polemeni, JD, Chief Compliance Officer, Asset Management, Citadel
  • Dianne Mattioli, JD, Chief Compliance Officer, Hedgemark Securities
  • Cynthia Marian, JD, LLM, Vice President, CCO & Deputy General Counsel, Tinicum

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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:  8600


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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.