On-Demand   On-Demand Web Programs

Broker/Dealer Regulation and Enforcement 2017

Released on: Oct. 18, 2017
Running Time: 06:54:03
Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus, PLI’s new blog edited by Clifford E. Kirsch.

 

In addition to the credits listed to the right, this program also offers credit for ABA professional certification. Broker/Dealer Regulation and Enforcement 2017 has been approved for 6.5 CAFP, 7.75 CRCM, 6.5 CSOP credits.    This statement should not be viewed as an endorsement of this program or its sponsor. 


This program will focus on the many significant developments in the regulation and oversight of broker-dealers. With a new administration, what regulatory changes can broker-dealers and the industry expect to see? Will there continue to be significant regulatory focus on cybersecurity, alternative trading systems and high-frequency trading, and wide-ranging equity market structure issues? What federal and state securities laws and federal commodities laws will the DOJ, SEC, CFTC, state regulators and FINRA be focusing on? This program brings together a distinguished faculty of regulators, industry experts and leading practitioners to discuss issues that will help you keep up with the changing landscape of the securities business and its regulatory oversight.

You will learn:

  • Current regulatory issues being addressed by the regulators
  • Current examination and enforcement priorities of the SEC, CFTC, SROs and state regulators
  • How the SEC, SROs and states fared over the past year in litigated matters
  • Major cases impacting broker-dealers
  • In-house lawyers’ and compliance officers’ regulatory and enforcement challenges, and their strategies and best tips for minimizing regulatory exposure

Attorneys and other professionals involved in securities, corporate, banking and finance, and insurance law; in-house counsel and compliance professionals, financial advisors, bankers and accountants; and those employed in supervisory positions throughout the financial services industry will benefit from this program.

Lecture Topics [Total time 06:54:03]

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


  • Opening Remarks and Introduction* [00:06:18]
    Carmen J. Lawrence, Neal E. Sullivan
  • SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers [01:32:29]
    Carmen J. Lawrence, Henry Klehm III, Manal Sultan, Jessica B. Hopper, Jacquelyn Kasulis, Thomas P. Smith, Jr.
  • Broker/Dealer: State Enforcement Initiatives, Developments and Priorities [01:29:21]
    Neal E. Sullivan, Melanie Senter Lubin, Tanya Solov, Ronak V. Patel
  • Luncheon Keynote* [00:45:20]
    Joseph P. Borg
  • Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update [01:01:28]
    James A. Brigagliano, Gerard S. Citera, C. Annette Kelton, Thomas R. Gira, Justin M. Kletter
  • In-House Broker/Dealer Lawyer Roundtable [01:00:23]
    Colleen P. Mahoney, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer, Gerald Balacek
  • Broker/Dealer Compliance Officer Roundtable [00:58:41]
    Ghillaine A. Reid, Lauri Scoran, William R. Baker III, Douglas T. Siegel

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


  • COMPLETE COURSE HANDBOOK
  • King & Spalding, Reflections on Kokesh v. SEC: Potential Ramifications of SEC Disgorgement Being a Penalty (June 14, 2017)
    Carmen J. Lawrence
  • The SEC Enforcement Landscape for Broker-Dealers and Investment Advisers (August 7, 2017)
    Erich T. Schwartz, Andrew M. Lawrence, Collen P. Mahoney, Joshua A. Ellis, Charles F. Walker
  • Outline: State BD Regulation & Enforcement
    Neal E. Sullivan, Ronak V. Patel, Melanie Senter Lubin, Tanya Solov
  • Memorandum of Understanding Regarding the Treatment of Non-Public Information Shared Between the North American Securities Administrators Association and the Securities and Exchange Commission (February 17, 2017)
    Ronak V. Patel, Melanie Senter Lubin, Tanya Solov, Neal E. Sullivan
  • NASAA Broker-Dealer Section Study of Senior Practices and Procedures, 2016–2017
    Melanie Senter Lubin, Tanya Solov, Neal E. Sullivan, Ronak V. Patel
  • State Regulatory Requests: Using a Measured Approach to Manage a Broker-Dealer’s Objections (August 2017)
    Ronak V. Patel
  • 2017 Regulatory Update
    James A. Brigagliano
  • Trends in SEC Enforcement & Internal Investigations (August 17, 2017)
    Collen P. Mahoney, Joshua A. Ellis, Andrew M. Lawrence, Charles F Walker, Erich T. Schwartz
  • Defending Broker Dealers in Regulatory Investigations (August 2017)
    William R. Baker
  • King & Spalding, 2017 Financial Industry Regulatory Priorities, OCIE and FINRA Announce Examination Areas of Focus (January 17, 2017)
    Carmen J. Lawrence
  • Compliance Officer Liability (June 1, 2017) (PowerPoint slides)
    Ghillaine A. Reid

Presentation Material


  • About Electronic Filing Depository Handout
    Joseph P. Borg
  • Broker-Dealer Fee Survey Handout
    Joseph P. Borg
  • Cybersecurity Checklist for Investment Advisers Handout
    Joseph P. Borg
  • Fee Working Group Handout
    Joseph P. Borg
  • NASAA 2017 Enforcement Report Handout
    Joseph P. Borg
  • NASAA Contacts Handout
    Joseph P. Borg
  • NASAA Member Enforcement Actions at a Glance
    Joseph P. Borg
  • NASAA Model Act to Protect Vulnerable Adults From Financial Exploitation Update Center Handout
    Joseph P. Borg
  • Press release: State Investment Adviser Examinations Uncover Cybersecurity Deficiencies Handout
    Joseph P. Borg
  • Sample of Miscellaneous Account and Service Fees Handout
    Joseph P. Borg
Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Neal E. Sullivan ~ Sidley Austin LLP
Moderator(s)
James A. Brigagliano ~ Sidley Austin LLP
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Ghillaine A. Reid ~ McGuireWoods LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Gerald Balacek ~ Associate General Counsel, JP Morgan Chase
Joseph P. Borg ~ Director, Alabama Securities Commission, President, North American Securities Administrators Association
Gerard S. Citera ~ Associate General Counsel; Managing Director, JP Morgan Chase & Co.
Thomas R. Gira ~ Executive Vice President, Market Regulation & Transparency Services , FINRA
Jessica B. Hopper ~ Enforcement Deputy Chief, Senior Vice President, Regional Enforcement, FINRA
Jacquelyn Kasulis ~ Chief, Business and Securities Fraud Section, U.S. Attorney's Office, Eastern District of New York
C. Annette Kelton ~ Managing Director - Associate General Counsel, Goldman, Sachs & Co. LLC
Henry Klehm III ~ Jones Day
Justin M. Kletter ~ Associate General Counsel & Director, Global Equities Legal , Merrill Lynch, Pierce, Fenner & Smith Incorporated
Melanie Senter Lubin ~ Securities Commissioner, Office of the Attorney General for Maryland
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Ronak V. Patel ~ Kelly Hart
Lauri Scoran ~ Chief Compliance Officer, Jefferies LLC
Joaquin M. Sena ~ Associate General Counsel, Regulatory Inquiries and Internal Investigations Group, Bank of America
Douglas T. Siegel ~ Global Chief Compliance Officer, Oppenheimer & Co. Inc.
Thomas P. Smith, Jr. ~ Assistant Regional Director, Division of Enforcement, U.S. Securities and Exchange Commission
Tanya Solov ~ Director, Illinois Securities Department
Andrew Stemmer ~ Head of Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Manal Sultan ~ Deputy Director, Division of Enforcement, U.S. Commodity Futures Trading Commission
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


U.S. MCLE States

Alabama:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s on-demand web programs qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s on-demand web programs are not approved for Arkansas CLE credit.

California:  PLI’s on-demand web programs qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s on-demand web programs qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s on-demand web programs qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period.

Iowa:  PLI’s on-demand web programs qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

Kansas:  PLI’s on-demand web programs qualify as “prerecorded” credit. Attorneys are limited to 6 credits of prerecorded programs per reporting period.

Kentucky:  PLI’s on-demand web programs qualify as “non-live” credit. Attorneys are limited to 6 non-live credits per reporting period.

Louisiana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

Minnesota:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 15 on-demand credits per reporting period.

Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

Nebraska:  PLI’s on-demand web programs qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

New Hampshire:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

New Jersey:  PLI’s on-demand web programs qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

North Carolina:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

North Dakota:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Ohio:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s on-demand web programs qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  PLI’s on-demand web programs qualify as “non-traditional” credit. Attorneys are limited to 8 credits of non-traditional programs per reporting period.

Rhode Island:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 3 on-demand credits per reporting period.

South Carolina:  PLI’s on-demand web programs qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  PLI’s on-demand web programs qualify as “A/V” credit. Attorneys are limited to 22.5 credits of A/V programs per reporting period.

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s on-demand web programs may fulfill Australia’s CPD requirements. Credit limits for on-demand web programs vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as “QAS Self-Study” credit. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s on-demand web programs may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s on-demand web programs may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s on-demand web programs qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

Compliance Certification Board (CCB):  PLI’s on-demand web programs qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand web programs are not approved for CAMS credit.

New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand web programs are not approved for SW CPE credit.

American Bankers Association Professional Certification (ABA):  PLI’s on-demand web programs may fulfill ABA credit requirements.

 

Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.