On-Demand   On-Demand Web Programs

The SEC Speaks in 2014

Released on: Mar. 8, 2014
Running Time: 13:38:11

Running Time Segment Title Faculty Format
[00:57:21] Division of Economic and Risk Analysis Laura Tuttle ~ Financial Economist, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Harvey Westbrook ~ Assistant Director, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Hon. Cynthia A. Glassman ~ George Washington University Business School
Hon. Troy A. Paredes ~
Vanessa Countryman ~ Chief Counsel, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Jennifer Marietta-Westberg ~ Deputy Director and Deputy Chief Economist, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Scott Bauguess ~ Deputy Director and Deputy Chief Economist, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Chyhe Becker ~ Assistant Director, Division of Economic and Risk Analysis, US Securities and Exchange Commission
On-Demand MP3 MP4
[01:03:39] Trading and Markets Hon. Steven M.H. Wallman ~ Chief Executive Officer, FOLIOfn, Inc.
Michael A. Macchiaroli ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Hon. David S. Ruder ~ Professor of Law Emeritus, Northwestern University School of Law
Thomas K. McGowan ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
David S. Shillman ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Hon. Annette L. Nazareth ~ Davis Polk & Wardwell LLP
Heather A. Seidel ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Brian A. Bussey ~ Associate Director, Division of Trading Markets, U.S. Securities and Exchange Commission
James R. Burns ~ Deputy Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Gregg E. Berman ~ Associate Director, Division of Trading and Markets, Division of Trading and Markets, U.S. Securities and Exchange Commission
John Ramsay ~ Acting Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
David W. Blass ~ Chief Counsel and Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Peter J. Curley ~ Associate Director, Division of Trading and Markets, US Securities and Exchange Commission
On-Demand MP3 MP4
[01:02:01] Enforcement Matthew C. Solomon ~ Chief Litigation Counsel, US Securities and Exchange Commission
Hon. Harvey L. Pitt ~ Chief Executive Officer, Kalorama Partners, LLC, Kalorama Legal Services, PLLC (Formerly 26th Chairman of the U.S. S.E.C., 2001-2003)
Charlotte L. Buford ~ Assistant Chief Counsel, Division of Enforcement, US Securities and Exchange Commission
Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Roel C. Campos ~ Locke Lord LLP
David R. Woodcock ~ Regional Director - Fort Worth Regional Office, US Securities and Exchange Comission, US Securities and Exchange Commission
Jina L. Choi ~ Regional Director- SFRO, US Securities and Exchange Commission
Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, US Securities and Exchange Commission
On-Demand MP3 MP4
[01:03:55] Investment Management Susan Nash ~ Associate Director and Deputy for Disclosure Policy, Division of Investment Management, U.S. Securities and Exchange Commission
Hon. Richard C. Breeden ~ Chairman, Breeden Capital Management, LLC
Diane C. Blizzard ~ Associate Director, Rulemaking, Division of Investment Management, US Securities and Exchange Commission
Hon. Paul S. Atkins ~ Chief Executive, Patomak Global Partners, LLC
Hon. Elisse B. Walter ~ Former Chairman and Commissioner, U.S. Securities and Exchange Commission
Norm Champ ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Eun Ah Choi ~ Managing Executive, US Securities and Exchange Commission
Sarah ten Siethoff ~ Senior Special Counsel, Rulemaking, Division of Investment Management, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:00:41] Workshops: Workshop C: Enforcement Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Marshall S. Sprung ~ Co-Chief of the Asset Management Unit, US Securities and Exchange Commission
Daniel M. Hawke ~ Chief of the Market Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael D. Paley ~ Assistant Director - NYRO and Co-Chair of the Microcap Fraud Task Force, US Securities and Exchange Commission
Kara N. Brockmeyer (Invited) ~ Chief, FCPA Unit; Division of Enforcement, Securities and Exchange Commission
LeeAnn G. Gaunt ~ Chief of the Municipal Securities and Public Pensions Unit, US Securities and Exchange Commission
Michael J. Osnato ~ Chief of the Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Elisha L. Frank ~ Assistant Director - MIRO and Co-Chair of the Microcap Fraud Task Force, US Securities and Exchange Commission
On-Demand MP3 MP4
[01:05:20] Compliance Inspections and Examinations Andrew J. Bowden ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Thomas J. Butler ~ Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Erozan Kurtas ~ Assistant Director, Quantitative Team, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Hon. Harvey L. Pitt ~ Chief Executive Officer, Kalorama Partners, LLC, Kalorama Legal Services, PLLC (Formerly 26th Chairman of the U.S. S.E.C., 2001-2003)
John Polise ~ Associate Director, Office of Market Oversight, Office of Compliance and Inspections, U.S. Securities and Exchange Commission
Hon. Roel C. Campos ~ Locke Lord LLP
Mavis A. Kelly ~ Assistant Director, Office of Investment Adviser/Investment Company Examinations, U.S. Securities and Exchange Commission
Kevin Goodman ~ Associate Director, Office of Broker-Dealer Examinations, US Securities and Exchange Commission
Barbara Lorenzen ~ Associate Director, Office of Clearing and Settlement, US Securities and Exchange Commission
On-Demand MP3 MP4
[01:03:01] Accounting Hon. Cynthia A. Glassman ~ George Washington University Business School
Jaime L. Eichen ~ Chief Accountant, Division of Investment Management, US Securities and Exchange Commission
Paul A. Beswick ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Mark Kronforst ~ Chief Accountant, Division of Corporation Finance, United States Securities and Exchange Commission, Division of Corporate Finance
On-Demand MP3 MP4
[01:06:05] Corporation Finance Hon. Edward H. Fleischman ~
Keith F. Higgins ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Elisse B. Walter ~ Former Chairman and Commissioner, U.S. Securities and Exchange Commission
Felicia Kung ~ Chief, Office of Rulemaking, Division of Corporation Finance, U.S. Securities and Exchange Commission
Katherine Hsu ~ Chief, Office of Structured Finance, US Securities and Exchange Commission
Sebastian Gomez Abero ~ Chief, Office of Small Business Policy, U.S. Securities and Exchange Commission
Jonathan A. Ingram ~ Acting Chief Counsel and Associate Director, Division of Corporation Finance, US Securities and Exchange Commission
Hon. Richard Y. Roberts ~ Roberts, Raheb & Gradler, LLC
On-Demand MP3 MP4
[01:05:34] Judicial and Legislative Developments Laura M. Jarsulic ~ Associate General Counsel, U.S. Securities and Exchange Commission
Jacob H. Stillman ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Richard M. Humes ~ Associate General Counsel, Office of General Counsel, U.S. Securities and Exchange Commission
Hon. Paul S. Atkins ~ Chief Executive, Patomak Global Partners, LLC
John W. Avery ~ Deputy Solicitor, US Securities and Exchange Commission
Hon. Harvey J. Goldschmid ~ Dwight Professor of Law, Columbia Law School, Senior Counsel, Weil Gotshal & Manges
Anne K. Small ~ General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Michael A. Conley ~ Deputy General Counsel, Office of the General Counsel, US Securities and Exchange Commission
On-Demand MP3 MP4
[00:59:43] Ethics Hon. David S. Ruder ~ Professor of Law Emeritus, Northwestern University School of Law
Richard M. Humes ~ Associate General Counsel, Office of General Counsel, U.S. Securities and Exchange Commission
Hon. Harvey J. Goldschmid ~ Dwight Professor of Law, Columbia Law School, Senior Counsel, Weil Gotshal & Manges
Thomas J. Karr ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Donna McCaffrey ~ Special Trial Counsel, Office of General Counsel, US Securities and Exchange Commission
On-Demand MP3 MP4
[01:01:31] Workshops: Workshop G: Corporation Finance Shelley E. Parratt ~ Deputy Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission
Karen J. Garnett ~ Associate Director, Disclosure Operations, United States Securities and Exchange Commission, Division of Corporate Finance
Anne Parker ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Dietrich A. King ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Patrick Gilmore ~ Accounting Branch Chief, US Securities and Exchange Commission
Rufus Decker ~ Accounting Branch Chief, US Securities and Exchange Commission
Kevin L. Vaughn ~ Branch Chief - Division of Corporation Finance, US Securities and Exchange Commission
On-Demand MP3 MP4

The past year has seen significant activity at the Commission as it has continued to engage in a broad range of rulemaking projects and other initiatives to implement the Jumpstart Our Business Startups Act (JOBS Act) and the Dodd-Frank Wall Street Reform and Consumer Protection Act (DFA). For example, the Commission adopted rules to implement provisions of the JOBS Act lifting the ban on general solicitation in certain private offerings and also adopted rules disqualifying felons and bad actors from participating in these offerings as required by the DFA. Additional significant rulemaking that the Commission has undertaken in the past year includes, among a number of other rulemakings: rulemaking on risk retention; proposal of comprehensive money market mutual fund reforms; proposal of new rules to require certain key market participants to have comprehensive policies and procedures in place surrounding their technological systems; adoption of a rule requiring the exchanges and FINRA to jointly submit a plan to develop a consolidated audit trail; and proposed rules and interpretive guidance for parties to cross-border security-based swap transactions.

This year, the Commission has also continued to pursue a bold and unrelenting enforcement program, and the Chair has unveiled an increased readiness to litigate enforcement cases and limit the use of “neither admit nor deny” clauses in settlements. The agency has continued its efforts to ensure that it performs rigorous economic analysis to inform and help guide its rulemaking decisions, and has renewed its focus on market structure issues.

This is a period of significant transition and rulemaking at the Commission, and now more than ever you will want to hear from the Chair, Commissioners, and senior staff about the SEC’s initiatives and priorities at The SEC Speaks in 2014.

Lecture Topics 
[Total time 013:38:11]

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

  • Opening Remarks* [00:06:58]
    Norm Champ, Andrew J. Ceresney
  • Chair's Remarks* [00:28:24]
    Hon. Mary Jo White
  • Division of Economic and Risk Analysis [00:57:21]
    Jennifer Marietta-Westberg, Scott Bauguess, Harvey Westbrook, Hon. Cynthia A. Glassman, Hon. Troy A. Paredes, Chyhe Becker, Vanessa Countryman, Laura Tuttle
  • Commissioner's Remarks* [00:22:15]
    Hon. Luis A. Aguilar
  • Trading and Markets [01:03:39]
    John M. Ramsay, James R. Burns, Gregg E. Berman, David W. Blass, Brian A. Bussey, Peter J. Curley, Michael A. Macchiaroli, Heather A. Seidel, David S. Shillman, Hon. Annette L. Nazareth, Hon. David S. Ruder, Hon. Steven M.H. Wallman, Thomas K. McGowan
  • Commissioner's Remarks* [00:25:04]
    Hon. Daniel M. Gallagher
  • Commissioner's Remarks* [00:22:10]
    Hon. Kara M. Stein
  • Enforcement [01:02:01]
    Joseph K. Brenner, Hon. Harvey L. Pitt, Hon. Roel C. Campos, Charlotte L. Buford, David R. Woodcock, Matthew C. Solomon, Jina L. Choi, Andrew J. Ceresney
  • Commissioner's Remarks* [00:24:29]
    Hon. Michael S. Piwowar
  • Investment Management [01:03:55]
    Norm Champ, Diane C. Blizzard, Susan Nash, Hon. Paul S. Atkins, Hon. Richard C. Breeden, Eun Ah Choi, Hon. Elisse B. Walter, Sarah ten Siethoff
  • Workshops: Workshop C: Enforcement [01:00:41]
    Kara N. Brockmeyer, Elisha L. Frank, Michael D. Paley, Marshall S. Sprung, Daniel M. Hawke, LeeAnn G. Gaunt, Michael J. Osnato, Andrew J. Ceresney
  • Compliance Inspections and Examinations [01:05:20]
    Andrew J. Bowden, Thomas J. Butler, John Polise, Hon. Roel C. Campos, Hon. Harvey L. Pitt, Mavis A. Kelly, Kevin Goodman, Barbara Lorenzen, Erozan Kurtas
  • Accounting [01:03:01]
    Paul A. Beswick, Jaime L. Eichen, Mark Kronforst, Hon. Cynthia A. Glassman
  • Corporation Finance [01:06:05]
    Felicia Kung, Hon. Edward H. Fleischman, Hon. Elisse B. Walter, Keith F. Higgins, Jonathan A. Ingram, Katherine Hsu, Hon. Richard Y. Roberts, Sebastian Gomez Abero
  • Judicial and Legislative Developments [01:05:34]
    Michael A. Conley, Jacob H. Stillman, Richard M. Humes, John W. Avery, Hon. Harvey J. Goldschmid, Hon. Paul S. Atkins, Anne K. Small, Laura M. Jarsulic
  • Ethics [00:59:43]
    Richard M. Humes, Thomas J. Karr, Donna McCaffrey, Hon. Harvey J. Goldschmid, Hon. David S. Ruder
  • Workshops: Workshop G: Corporation Finance [01:01:31]
    Shelley E. Parratt, Karen J. Garnett, Rufus Decker, Patrick Gilmore, Dietrich A. King, Anne Parker, Kevin L. Vaughn

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

  • Memorandum to Staff of the Rulewriting Divisions and Offices From RSFI and OGC Dated March 16, 2012 Re: Current Guidance on Economic Analysis in SEC Rulemakings
  • Investor Protection Through Economic Analysis, Speech By Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, And Financial Innovation, U.S. Securities and Exchange Commission, Pennsylvania Association of Public Employee Retirement Sy
  • Risk Modeling at the SEC: The Accounting Quality Model, Speech By Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, And Financial Innovation, U.S. Securities and Exchange Commission, Financial Executives International Committee on
  • Alternative Trading Systems: Description of ATS Trading in National Market System Stocks, October 2013
    Laura Tuttle
  • Outline: SEC Speaks 2014, Division of Trading and Markets
  • Outline of Selected SEC Enforcement Actions, May 2013
  • Outline: Division of Investment Management
  • Outline: Office of International Affairs
  • National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, Volume III, Issue 1, March 4, 2013, Significant Deficiencies Involving Adviser Custody and Safety of Client Assets
  • National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, Volume III, Issue 2, August 9, 2013, Strengthening Practices for Preventing and Detecting Illegal Options Trading Used to Reset Reg Sho Close-Out Obligations
  • Business Continuity Planning
  • National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, Volume II, Issue 3, August 27, 2013, SEC Examinations of Business Continuity Plans of Certain Advisers Following Operational Disruptions Caused By Weather-Related
  • National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, Volume III, Issue 4, September 17, 2013, Rule 105 of Regulation M: Short Selling in Connection with a Public Offering
  • National Exam Program, Office of Compliance Inspections and Examinations, Examination Priorities for 2013, February 21, 2013
  • Remarks at the AICPA 2013 Conference on Current SEC and PCAOB Developments, Speech By Paul Beswick, Chief Accountant, Office of the Chief Accountant, U.S. Securities And Exchange Commission, Washington, D.C., December 9, 2013
  • Remarks Before the 2013 AICPA National Conference on Current SEC and PCAOB Developments—Audit Policy and Current Auditing and Internal Control Matters, Speech By Brian T. Croteau, Deputy Chief Accountant, Office of the Chief Accountant, December 9, 2013
  • PCAOB Standard-Setting Agenda, Office of the Chief Auditor, September 30, 2013
  • Compendium of Rulemaking and Public Statements Relating to the Developments in the Division of Corporation Finance in 2013
  • 2013 in Review: Opinions and Selected Orders Issued By the Securities and Exchange Commission, December 6, 2013
    Joan A. McCarthy, Laura M. Jarsulic
  • Recent Significant Judicial Developments, Securities and Exchange Commission, Office of the General Counsel, December 19, 2013
  • In the Matter of David M. Tamman, Esq., SEC Release No. 69746/June 12, 2013, Administrative Proceeding File No. 3-14207, Order Making Findings and Denying Privilege to Appear or Practice Before the Commission By Default
  • In the Matter of Stewart A. Merkin, Esq., Sec Release No. 68543/Dec. 27, 2012, Admin. Proceeding File No. 3-15158, Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(B)
  • In the Matter of Stewart A. Merkin, Esq., SEC Admin. Proceeding File No. 3-15158, Feb. 6. 2013, Off. of the Gen. Counsel’s Opposition to Respondent’s Petition to Lift the Temporary Suspension Entered Pursuant to Rule 102(e)(3)(i)(B)
  • In the Matter of Stewart A. Merkin, Esq., SEC Release No. 68981/February 25, 2013, Administrative Proceeding File No. 3-15158, Order Denying Motion to Lift Temporary Suspension and Directing Hearing
  • In the Matter of Virginia K. Sourlis, Esq., SEC Release No. 68952/February 19, 2013, Administrative Proceeding File No. 3-15212, Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(B)
  • In the Matter of Virginia K. Sourlis, Esq., SEC Release No. 68952/February 19, 2013, Administrative Proceeding File No. 3-15212, Respondent Virginia Sourlis’ Petition to Lift the Order of Temporary Suspension Pursuant to Rule 102(e)(3)(i), March 15, 2013
  • In the Matter of Virginia K. Sourlis, Respondent, SEC Administrative Proc. No. 3-15212, Opposition to Respondent’s Petition to Lift Temporary Suspension and Supporting Authorities, March 26, 2013
  • 2013 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization, As Required By Section 15E(p)(3)(C) of the Securities Exchange Act of 1934, December 2013
  • Annual Report on Nationally Recognized Statistical Rating Organizations, As Required By Section 6 of the Credit Rating Agency Reform Act of 2006, December 2013
  • Report to Congress, Credit Rating Agency Independence Study, As Required By Section 939C of the Dodd-Frank Wall Street Reform and Consumer Protection Act, November 2013

Presentation Material

  • Division of Economic and Risk Analysis
  • Investment Management
    Norm Champ, Diane C. Blizzard, Susan Nash, Hon. Paul S. Atkins, Hon. Richard C. Breeden, Eun Ah Choi, Hon. Elisse B. Walter, Sarah ten Siethoff
  • Compliance Inspections and Examinations
    Andrew J. Bowden, Thomas J. Butler, John Polise, Hon. Roel C. Campos, Hon. Harvey L. Pitt, Mavis A. Kelly, Kevin Goodman, Barbara Lorenzen, Erozan Kurtas
  • Compliance Inspections and Examinations
    Andrew J. Bowden, Thomas J. Butler, John Polise, Hon. Roel C. Campos, Hon. Harvey L. Pitt, Mavis A. Kelly, Kevin Goodman, Barbara Lorenzen, Erozan Kurtas
  • Accounting
    Paul A. Beswick
Co-Chair(s)
Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Norm Champ ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Speaker(s)
Kara N. Brockmeyer (Invited) ~ Chief, FCPA Unit; Division of Enforcement, Securities and Exchange Commission
Sebastian Gomez Abero ~ Chief, Office of Small Business Policy, U.S. Securities and Exchange Commission
Hon. Luis A. Aguilar ~ Commissioner, U.S. Securities and Exchange Commission
Hon. Paul S. Atkins ~ Chief Executive, Patomak Global Partners, LLC
John W. Avery ~ Deputy Solicitor, US Securities and Exchange Commission
Scott Bauguess ~ Deputy Director and Deputy Chief Economist, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Chyhe Becker ~ Assistant Director, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Gregg E. Berman ~ Associate Director, Division of Trading and Markets, Division of Trading and Markets, U.S. Securities and Exchange Commission
Paul A. Beswick ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
David W. Blass ~ Chief Counsel and Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Diane C. Blizzard ~ Associate Director, Rulemaking, Division of Investment Management, US Securities and Exchange Commission
Andrew J. Bowden ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Hon. Richard C. Breeden ~ Chairman, Breeden Capital Management, LLC
Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, US Securities and Exchange Commission
Charlotte L. Buford ~ Assistant Chief Counsel, Division of Enforcement, US Securities and Exchange Commission
James R. Burns ~ Deputy Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Brian A. Bussey ~ Associate Director, Division of Trading Markets, U.S. Securities and Exchange Commission
Thomas J. Butler ~ Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Hon. Roel C. Campos ~ Locke Lord LLP
Eun Ah Choi ~ Managing Executive, US Securities and Exchange Commission
Jina L. Choi ~ Regional Director- SFRO, US Securities and Exchange Commission
Michael A. Conley ~ Deputy General Counsel, Office of the General Counsel, US Securities and Exchange Commission
Vanessa Countryman ~ Chief Counsel, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Peter J. Curley ~ Associate Director, Division of Trading and Markets, US Securities and Exchange Commission
Rufus Decker ~ Accounting Branch Chief, US Securities and Exchange Commission
Alison Duncan ~ Branch Chief, Comparitive Law and Regulation, US Securities and Exchange Commission
Jaime L. Eichen ~ Chief Accountant, Division of Investment Management, US Securities and Exchange Commission
Ryan Evans ~ Accounting Fellow, Office of the Chief Accountant, US Securities and Exchange Commission
Scott P. Follin ~ Senior Accountant, Office of Risk Analysis and Surveillance, OCIE, US Securities and Exchange Commission
Elisha L. Frank ~ Assistant Director - MIRO and Co-Chair of the Microcap Fraud Task Force, US Securities and Exchange Commission
Hon. Daniel M. Gallagher ~ Commissioner, U.S. Securities and Exchange Commission
Karen J. Garnett ~ Associate Director, Disclosure Operations, United States Securities and Exchange Commission, Division of Corporate Finance
LeeAnn G. Gaunt ~ Chief of the Municipal Securities and Public Pensions Unit, US Securities and Exchange Commission
James Giles ~ Assistant Director, Office of Large Firm Monitoring, OCIE, U.S. Securities and Exchange Commission
Patrick Gilmore ~ Accounting Branch Chief, US Securities and Exchange Commission
Hon. Cynthia A. Glassman ~ George Washington University Business School
Hon. Harvey J. Goldschmid ~ Dwight Professor of Law, Columbia Law School, Senior Counsel, Weil Gotshal & Manges
Kevin Goodman ~ Associate Director, Office of Broker-Dealer Examinations, US Securities and Exchange Commission
Daniel M. Gray ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Matthew Greiner ~ Branch Chief, Cross Border Enforcement Cooperation, US Securities and Exchange Commission
David W. Grim ~ Deputy Director, Division of Investment Management, U.S. Securities and Exchange Commission
Janet M. Grossnickle ~ Assistant Director, Chief Counsel's Office, Enforcment Liason, US Securities and Exchange Commission
Daniel M. Hawke ~ Chief of the Market Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Keith F. Higgins ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Katherine Hsu ~ Chief, Office of Structured Finance, US Securities and Exchange Commission
Richard M. Humes ~ Associate General Counsel, Office of General Counsel, U.S. Securities and Exchange Commission
Jonathan A. Ingram ~ Acting Chief Counsel and Associate Director, Division of Corporation Finance, US Securities and Exchange Commission
Laura M. Jarsulic ~ Associate General Counsel, U.S. Securities and Exchange Commission
Joseph P. Kamnik ~ Assistant Director, Division of Trading and Markets, US Securities and Exchange Commission
Thomas J. Karr ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Kathleen Kelly ~ Special Counsel, Cross Border Supervisory Cooperation, US Securities and Exchange Commission
Mavis A. Kelly ~ Assistant Director, Office of Investment Adviser/Investment Company Examinations, U.S. Securities and Exchange Commission
Dietrich A. King ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Mark Kronforst ~ Chief Accountant, Division of Corporation Finance, United States Securities and Exchange Commission, Division of Corporate Finance
Felicia Kung ~ Chief, Office of Rulemaking, Division of Corporation Finance, U.S. Securities and Exchange Commission
Erozan Kurtas ~ Assistant Director, Quantitative Team, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Barbara Lorenzen ~ Associate Director, Office of Clearing and Settlement, US Securities and Exchange Commission
Michael A. Macchiaroli ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Jennifer Marietta-Westberg ~ Deputy Director and Deputy Chief Economist, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Donna McCaffrey ~ Special Trial Counsel, Office of General Counsel, US Securities and Exchange Commission
Erin McCartney ~ Branch Chief for Technical Assistance, US Securities and Exchange Commission
Carol M. McGee ~ Assistant Director, Division of Trading and Markets, US Securities and Exchange Commission
Helene K. Mcgee ~ Assistant Director, Office of Market Oversight, OCIE, US Securities and Exchange Commission
Thomas K. McGowan ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Jeffrey J. Minton ~ Chief Counsel, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Susan Nash ~ Associate Director and Deputy for Disclosure Policy, Division of Investment Management, U.S. Securities and Exchange Commission
Hon. Annette L. Nazareth ~ Davis Polk & Wardwell LLP
Rebecca Olsen ~ Attorney-Advisor Fellow, Office of Municipal Securities, U.S. Securities and Exchange Commission
Michael J. Osnato ~ Chief of the Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Elizabeth G. Osterman ~ Associate Director and Deputy Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission
Michael D. Paley ~ Assistant Director - NYRO and Co-Chair of the Microcap Fraud Task Force, US Securities and Exchange Commission
Eric Pan ~ Associate Director for Regulatory Policy & Comparative Law and Regulation, U.S. Securities and Exchange Commission
Anne Parker ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Shelley E. Parratt ~ Deputy Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission
Emily S. Pierce ~ Branch Chief, Regulatory Policy, US Securities and Exchange Commission
Hon. Harvey L. Pitt ~ Chief Executive Officer, Kalorama Partners, LLC, Kalorama Legal Services, PLLC (Formerly 26th Chairman of the U.S. S.E.C., 2001-2003)
Hon. Michael S. Piwowar ~ Commissioner, U.S. Securities and Exchange Commission
John Polise ~ Associate Director, Office of Market Oversight, Office of Compliance and Inspections, U.S. Securities and Exchange Commission
Karol Pollock ~ Deputy Associate Regional Director, Los Angeles Regional Office, US Securities and Exchange Commission
John Ramsay ~ Acting Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Hon. Richard Y. Roberts ~ Roberts, Raheb & Gradler, LLC
Randall W. Roy ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Hon. David S. Ruder ~ Professor of Law Emeritus, Northwestern University School of Law
Douglas Scheidt ~ Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission
Heather A. Seidel ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Paula C. Sherman ~ Senior Special Counsel, Office of Clearance and Settlement, US Securities and Exchange Commission
David S. Shillman ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Sarah ten Siethoff ~ Senior Special Counsel, Rulemaking, Division of Investment Management, U.S. Securities and Exchange Commission
Anne K. Small ~ General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Matthew C. Solomon ~ Chief Litigation Counsel, US Securities and Exchange Commission
Marshall S. Sprung ~ Co-Chief of the Asset Management Unit, US Securities and Exchange Commission
Hon. Kara M. Stein ~ Commissioner, U.S. Securities and Exchange Commission
Jacob H. Stillman ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Josephine J. Tao ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Carlton Tartar ~ Associate Chief Accountant, Office of the Chief Accountant, US Securities and Exchange Commission
Laura Tuttle ~ Financial Economist, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Kevin L. Vaughn ~ Branch Chief - Division of Corporation Finance, US Securities and Exchange Commission
Darren Vieira ~ Special Counsel, US Securities and Exchange Commission
Hon. Steven M.H. Wallman ~ Chief Executive Officer, FOLIOfn, Inc.
Hon. Elisse B. Walter ~ Former Chairman and Commissioner, U.S. Securities and Exchange Commission
Harvey Westbrook ~ Assistant Director, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Hon. Mary Jo White ~ Chair, U.S. Securities and Exchange Commission
David R. Woodcock ~ Regional Director - Fort Worth Regional Office, US Securities and Exchange Comission, US Securities and Exchange Commission

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 Carolina7, 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

Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

*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.

 
Related Items

Live Seminars  Live Seminars

Corporate Political Activities 2014 (Washington, DC) Sep. 11 - 12, 2014

Handbook  Course Handbook Archive

Corporate Political Activities 2014  
The SEC Speaks in 2014 Craig M. Lewis, U.S. Securities and Exchange Commission
Norm Champ, U.S. Securities and Exchange Commission
 
Corporate Political Activities 2013 Jan Witold Baran, Wiley Rein LLP
Chip Nielsen, Nielsen Merksamer Parrinello Gross & Leoni LLP
Kenneth A. Gross, Skadden, Arps, Slate, Meagher & Flom LLP
 
Print Share Email