InstructorTerri Hays
TypeOnline Course
PriceFree
Buy NowBook Now

Tuition Options

myUniversity™

PracticeEdge Elite™

Standard Tuition $400 US

Senior Fellow James Burns, JD, Partner, Willkie Farr & Gallagher, LLP


For private funds, the need to stay abreast of developments coming not only out of the Division of Investment Management, but the trends in Trading & Markets regulation, compliance, and enforcement has never been more essential. Here are five hot topics essential for professionals to stay on top of: Unregistered broker dealer issues, Conflicts, Cybersecurity, Systemic risk regulation, Regulations in flight.  The panel will discuss the SEC & NYSE priorities for the coming year. This session attempts to translate compliance priorities of the SEC & NYSE into practical and actionable guidance that can help improve an investment adviser’s compliance processes.  This session will serve as a forum for the panelists to share and discuss ideas and best practices for achieving this goal.

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LEARNING OBJECTIVES

FACULTY

CREDIT INFO

ACCREDITATION

 

At the end of the session, participants will be able to:

  • ¬ Identify and Recognize how recent initiatives from the Division of Trading & Markets continues to expand.
  • ¬ Identify how Cybersecurity and Expert Network Compliance is a continuing priority
  • ¬ Discover the ongoing enforcement focus on Rule 105 & its Derivative Liability
  • ¬ List and recognize new proposals and guidance across the entire equity market structure space over the course of 2016, including ATS transparency and anti-disruptive trading.
  • ¬ Understand NYSE priorities and goals.

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Senior Fellow from Practice:
Jim Burns, JD, Deputy Director of Trading and Markets, SEC*

Guest Lecturers:
Stephen Luparello, JD, Director, Division of Trading and Markets, SEC
Adam Wasserman, JD, Head of Enforcement, NYSE Regulation, NYSE:ICE
Catherine Smith, JD, General Counsel, Guidepoint Global

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Accreditation Information

CLE Information

Credit Hours: 1
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information

CPE Information

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

 

Course ID Number: 9070

 

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On-Demand Web Programs and Segments are approved in:

Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6,  North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14and Wyoming*.

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

Please Note: The State Bar of 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.

*RCA will apply for credit upon request. Louisiana and New Hampshire: RCA will apply for credit upon request for audio-only on-demand web programs.

1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.
2Iowa:  The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

3Missouri:  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.

4New Hamphsire:  The approval is for three years from recorded date.

5New Mexico:  On-Demand web programs are restricted to 4.0 self-study credits per year. 

 

6New 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.

7North Carolina:  A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs. 

 

8Ohio:  To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us.  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.

9Oklahoma:  Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.

 

10Pennsylvania:  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.

11Rhode Island:  Audio Only On-Demand Web Programs are not approved for credit.  On-Demand Web Programs must have an audio and video component.

12Tennessee:  The approval is for the calendar year in which the live program was presented.

13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

14Wisconsin: 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.

 

Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.


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.