On-Demand   On-Demand Web Programs

Broker-Dealer and Adviser Regulatory Compliance Forum 2013

Released on: Mar. 6, 2013
Running Time: 04:08:47

Running Time Segment Title Faculty Format
[00:59:57] Complex Products Anna T. Pinedo ~ Morrison & Foerster LLP
On-Demand MP3 MP4
[01:02:23] Broker-dealer and Adviser Advertising Developments Clifford E. Kirsch ~ Sutherland
Stephanie R. Nicolas ~ WilmerHale LLP
Jesse P. Kanach ~ Shearman & Sterling LLP
On-Demand MP3 MP4
[01:01:56] Cross-Border Considerations for Broker-Dealer and Advisers Christopher D. Christian ~ Partner, Dechert LLP
On-Demand MP3 MP4
[00:59:33] SEC and FINRA 2013 Exam Program Ken C. Joseph ~ Associate Regional Director, Investment Management, New York Regional Office, U.S. Securities and Exchange Commission
Robert B. Kaplan ~ Vice President and District Director, FINRA
On-Demand MP3 MP4

Brokerage and advisory firms' compliance programs are under intense regulatory scrutiny. In this program, you will be provided with expert analysis regarding today’s hot topics impacting the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review current regulatory initiatives and recent examination and enforcement activity to give you a multi-faceted perspective on requirements and best practices in this area.

Lecture Topics 
[Total time 04:08:47]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Welcome and Introduction* [00:04:58]
    Clifford E. Kirsch
  • Complex Products [00:59:57]
    Anna T. Pinedo
  • Broker-dealer and Adviser Advertising Developments [01:02:23]
    Clifford E. Kirsch, Jesse P. Kanach, Stephanie R. Nicolas
  • Cross-Border Considerations for Broker-Dealer and Advisers [01:01:56]
    Christopher D. Christian
  • SEC and FINRA 2013 Exam Program [00:59:33]
    Robert B. Kaplan, Ken C. Joseph

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • Structuring and Selling Structured Products
    Anna T. Pinedo
  • Structured Thoughts 2012
    Anna T. Pinedo
  • Good Walls, Better Compliance: OCIE's Report
    Anna T. Pinedo
  • FINRA Commences Sweep Request Relating to Conflicts of Interest
    Anna T. Pinedo
  • Protection in the Firing Line
    Anna T. Pinedo
  • Investment Adviser Advertising Developments: Focus on the JOBS Act
    Jesse P. Kanach
  • The Investment Lawyer--Advertising Rules for Private Funds: A Post-JOBS Act Primer: Part 1 of 2
    Jesse P. Kanach
  • Overview of Recent FINRA Rulemaking Regarding Communications with the Public and Suitability Obligations
    Stephanie R. Nicolas
  • Offering Cross-Border Investment Products and Advisory Services to Clients in Latin America
    Christopher D. Christian
  • FINRA's Newsroom Speeches: Remarks from Susan F. Axelrod, Executive Vice President, Member Regulation Sales Practice, at PLI's Seminar on Broker-Dealer and Enforcement 2012
    Clifford E. Kirsch
  • FINRA's 2012 Annual Regulatory and Examination Priorities Letter
    Clifford E. Kirsch
  • Conflicts of Interest and Risk Governance: Remarks from Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, Before the National Society of Compliance Professionals
    Clifford E. Kirsch
  • Address at the Private Equity International Private Fund Compliance Forum: Remarks from Carlo V. Di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
    Clifford E. Kirsch

Presentation Material

  • Complex Products
    Anna T. Pinedo
  • Broker-Dealer and Advisor Advertising Developments
    Clifford E. Kirsch, Jesse P. Kanach, Stephanie R. Nicolas
  • Cross-Border Considerations for Broker-Dealers and Advisers
    Christopher D. Christian
  • SEC and FINRA 2013 Exam Program
Chairperson(s)
Clifford E. Kirsch ~ Sutherland
Speaker(s)
Christopher D. Christian ~ Partner, Dechert LLP
Ken C. Joseph ~ Associate Regional Director, Investment Management, New York Regional Office, U.S. Securities and Exchange Commission
Jesse P. Kanach ~ Shearman & Sterling LLP
Robert B. Kaplan ~ Vice President and District Director, FINRA
Stephanie R. Nicolas ~ WilmerHale LLP
Anna T. Pinedo ~ Morrison & Foerster LLP

PLI makes every effort to accredit its On-Demand Web Programs and Segments.  Please check the CLE Calculator above for CLE information specific to your state.

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 Carolina8, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14 and Wyoming*.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.
Minnesota  approves live webcasts ONLY

The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.

*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI 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.


Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu.

 
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