Seminar  Program

The SEC Speaks in 2018


Select a Location:

Why You Should Attend  

At the beginning of each year, PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update on the current initiatives at the Commission, as well as the priorities of the Commission for the coming year. At this unique program, you will hear remarks by the Chairman, and Commissioners, and Investor Advocate, as well as panel discussions by senior staff at the Divisions of Corporation Finance, Economic and Risk Analysis, Enforcement, Investment Management, and Trading and Markets, and the Offices of the Chief Accountant, General Counsel, Compliance Inspections and Examinations, Municipal Securities, Credit Ratings, and International Affairs. You will also hear commentary from former Chairmen and Commissioners and have the opportunity to receive answers to your most pressing questions in the smaller breakout workshop sessions at the end of each program day.

On Friday, registrants may attend one of the following Workshop Sessions:

Workshop A: Corporation Finance*
Workshop B: Investment Management
Workshop C: Enforcement*
Workshop D: International Affairs

On Saturday, registrants may attend one of the following Workshop Sessions:

Workshop E: Compliance Inspections and Examinations*
Workshop F: Accounting
Workshop G: Trading & Markets*
Workshop H (Joint): Municipal Securities and Credit Ratings

* Please note: One Workshop will be Webcast each program day and One Workshop will be audio recorded and made available as part of the archive.

On Friday - Workshop A: Corporation Finance will be webcast, and Workshop C: Enforcement will be audio recorded.
On Saturday - Workshop G: Trading and Markets will be webcast, and Workshop E: Compliance Inspections and Examinations will be audio recorded.

Who Should Attend

Securities and corporate attorneys in private practice or in-house, CEOs, CFOs, and others in senior management involved in decision-making impacted by securities laws.

Special Features

  • All attendees and speakers are invited to a cocktail reception on Friday evening, immediately following the afternoon session.
  • The Association of Securities and Exchange Commission Alumni, Inc. (ASECA) will give its annual dinner on Friday, February 24, immediately following the conference and cocktail reception. For further information, go to www.SECalumni.org

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 8:30 a.m. - 5:45 p.m.

8:30 Opening Remarks
Stephanie Avakian, Co-Director, Division of Enforcement
Steven R. Peikin, Co-Director, Division of Enforcement
William H. Hinman, Director, Division of Corporation Finance

8:45 Chairman’s Remarks
Hon. Jay Clayton

9:05 Corporation Finance

Corporation Finance

  • Update on Division rulemakings and guidance
  • Interpretive developments
  • Other Division initiatives

Speakers: Division of Corporation Finance
William H. Hinman, Director
Shelley E. Parratt, Deputy Director
David R. Fredrickson, Chief Counsel and Associate Director
Elizabeth M. Murphy, Associate Director
Tamara M. Brightwell, Senior Advisor
Matt S. McNair, Senior Special Counsel
Commentators:
Hon. Paul S. Atkins
Hon. Edward H. Fleischman
Hon. Troy A. Paredes



10:10 Commissioner’s Remarks
Hon. Kara M. Stein

10:30 Networking Break

10:45 Investment Management
  • Division initiatives and rulemakings
  • Interpretive developments
  • Disclosure and analytics trends
(CFE Field of Study: Fraud)

Speakers: Division of Investment Management
Dalia Blass, Director
Paul Cellupica, Deputy Director
Diane C. Blizzard, Associate Director, Rulemaking Office
Christian T. Sandoe, Assistant Director, Disclosure Review and Accounting Office
Timothy Dulaney, Senior Financial Analyst, Analytics Office
Commentators:
Hon. Richard C. Breeden
Hon. Daniel M. Gallagher
Hon. Laura S. Unger




11:50 Lunch

1:05 Commissioners' Roundtable
Hon. Michael S. Piwowar
Hon. Robert J. Jackson Jr.
Hon. Hester M. Peirce

2:05 Enforcement
  • Overview and observations
  • Legal and policy developments
  • Litigation developments
  • Cyber matters
  • Asset management and retail investor matters
  • Other Division priorities and initiatives 
(CFE Field of Study: Fraud)

Speakers: Division of Enforcement
Stephanie Avakian, Co-Director
Steven R. Peikin, Co-Director
Joseph K. Brenner, Chief Counsel
Bridget Fitzpatrick, Chief Litigation Counsel
Robert A. Cohen, Chief, Cyber Unit
Anthony S. Kelly, Co-Chief, Asset Management Unit
Richard Best, Regional Director, Atlanta Regional Office
Commentators:
Hon. Roel C. Campos
Hon. Daniel M. Gallagher
Hon. Harvey L. Pitt


3:10 Networking Break

3:25 Judicial and Legislative Developments
  • Judicial and Legislative Developments
  • Liability for disclosure violations
  • Appointments Clause challenges
  • Whistleblower retaliation protection
  • Tipping liability for insider trading
  • Statute of limitations for disgorgement
(CFE Field of Study: Fraud)

Speakers:  Office of the General Counsel
Robert B. Stebbins, General Counsel
Michael A. Conley, Solicitor
Dominick V. Freda, Assistant General Counsel
Jeffrey A. Berger, Senior Litigation Counsel
David D. Lisitza, Senior Litigation Counsel
Stephen G. Yoder, Senior Litigation Counsel
Sarah R. Prins, Senior Counsel
Rachel M. McKenzie, Senior Counsel
Dina B. Mishra, Attorney
Commentators:
Hon. Roberta S. Karmel
Hon. Annette L. Nazareth



4:30 Networking Break

4:45 Workshop A: Corporation Finance
  • Disclosure and processing developments
  • Accounting and financial reporting issues
(CFE Field of Study: Fraud)

Speakers: Division of Corporation Finance
Michele M. Anderson, Associate Director
James M. Daly, Associate Director
Mary Beth Breslin, Legal Branch Chief
Melissa Raminpour, Accounting Branch Chief
Robert F. Telewicz, Jr., Accounting Branch Chief
Jan Woo, Legal Branch Chief, Office of Information Technologies and Services



4:45 Workshop B: Investment Management
  • Dialogue and outreach
  • Fund disclosure and processing developments
  • Data analytics and trends
  • Enforcement and rulemaking updates
(CFE Field of Study: Fraud)

Speakers: Division of Investment Management
Melissa Gainor, Senior Special Counsel, Rulemaking Office
Jon Hertzke, Assistant Director, Analytics Office
Michael Kosoff, Senior Special Counsel, Disclosure Review and Accounting Office
Neil Lombardo, Senior Special Counsel, Chief Counsel’s Office
Naseem Nixon, Senior Counsel, Office of the Director
Robert H. Shapiro, Branch Chief, Chief Counsel’s Office



4:45 Workshop C: Enforcement
  • Retail strategy matters
  • FCPA matters
  • Financial fraud and audit matters
  • Complex financial instruments matters
  • Broker-Dealer practices
  • Market abuse and market structure matters
  • Public finance abuse
(CFE Field of Study: Fraud)
Speakers: Division of Enforcement
Jeffrey Boujoukos, Regional Director, Philadelphia Regional Office
Charu Chandrasekhar, Chief, Retail Strategy Task Force
Charles E. Cain, Chief, FCPA Unit
Margaret S. McGuire, Chief, Financial Reporting and Audit Group
Daniel Michael, Chief, Complex Financial Instruments Unit
Antonia Chion, Chief, Broker Dealer Task Force, and Associate Director, Home Office
Joseph Sansone, Chief, Market Abuse Unit
LeeAnn G. Gaunt, Chief, Public Finance Abuse Unit

4:45 Workshop D: International Affairs
  • International regulatory policy
  • Cross-border supervisory cooperation
  • Cross-border enforcement investigations
(CFE Field of Study: Fraud)

Speakers: Office of International Affairs
Kathleen M. Hutchinson, Assistant Director, International Regulatory Policy
Laura D. Compton, Senior Special Counsel, International Regulatory Policy
Natasha Kaden, Senior Special Counsel, Cross-border Supervisory Cooperation
Marlee M. Engel, Branch Chief, International Enforcement Cooperation

 



5:45 Adjourn

Day Two: 8:30 a.m. - 4:30 p.m.

8:30 Remarks by the Investor Advocate Rick A. Fleming

8:45 Compliance Inspections and Examinations
  • 2018 Examination Priorities

Speakers:
Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations
Jessica Kane, Acting Director, Office of Credit Ratings
Keith E. Cassidy, Associate Director, Technology Controls Program (TCP), Office of Compliance Inspections and Examinations
Kevin W. Goodman, Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations
Daniel R. Gregus, Associate Director, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations
Daniel S. Kahl, Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations
John S. Polise, Associate Director, National Broker-Dealer Exchange Program (BDX), Office of Compliance Inspections and Examinations
Kristin A. Snyder, Co-National Associate Director, Investment Adviser/Investment Company Examination Program (IA/IC), Office of Compliance Inspections and Examinations
Commentators:
Hon. Roel C. Campos
Hon. Harvey L. Pitt



9:50 Accounting
  • Current financial disclosure issues
  • Accounting and auditing issues
  • Emerging practice issues
  • Enforcement issues and trends
(CPE Field of Study: Accounting)

Speakers:
Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant
Kyle Moffatt, Acting Chief Accountant, Division of Corporation Finance
Charles Wright, Senior Legal Advisor to the Chief Accountant, Division of Enforcement
Alison Staloch, Chief Accountant, Division of Investment Management
Commentators:
Hon. Roel C. Campos
Hon. Cynthia A. Glassman

10:55 Networking Break

11:10 Economic and Risk Analysis
  • DERA overview and update
  • Use of research in SEC rulemaking
  • Use of AI and machine learning in market risk sssessment
  • Regulatory reform and changes in market liquidity
  • Economic analysis in SEC enforcement
  • Portfolio, investor, and financing liquidity at hedge funds

Speakers: Division of Economic and Risk Analysis 
Jeffrey H. Harris, Chief Economist and Division Director
Vanessa Countryman, Chief Counsel
Scott W. Bauguess, Deputy Chief Economist and Deputy Director
Narahari M. Phatak, Associate Director, Policy
Scott Walster, Assistant Director, Office of Litigation Economics
Giulio Girardi, Branch Chief, Office of Risk Assessment
Commentators:
Hon. Cynthia A. Glassman
Hon. Steven M. H. Wallman



12:15 Lunch

1:15 Trading and Markets
  • Market structure
  • Dodd-Frank implementation
  • Clearance and settlement
  • Risk analytics
  • Broker-Dealer issues

Speakers: Division of Trading and Markets
Brett W. Redfearn, Director
Michael A. Macchiaroli, Associate Director
Thomas K. McGowan, Associate Director
John C. Roeser, Associate Director
Christian R. Sabella, Associate Director
David Saltiel, Associate Director
Heather A. Seidel, Chief Counsel
David S. Shillman, Associate Director
Commentators:
Hon. Paul S. Atkins
Hon. Daniel M. Gallagher



2:20 Ethics
  • Overview of Commission’s Rule 102(e) program for attorneys
  • Recent case developments in discipline of attorneys appearing and practicing before the SEC
  • Other ethical issues for practitioners before the Commission

Speakers: Office of the General Counsel
Jeff Rosenblum, Deputy General Counsel
Thomas J. Karr, Assistant General Counsel
Donna McCaffrey, Special Trial Counsel
Commentators:
Hon. Paul S. Atkins
Hon. Edward H. Fleischman



3:20 Networking Break

3:30 Workshop E: Compliance Inspections and Examinations
  • Common risks and themes from 2017 exams and 2018 priorities
  • Risk identification and industry trends

Speakers: Office of Compliance Inspections and Examinations
Everardo de Armas, Branch Chief
Allison Fakhoury, Senior Regulatory Counsel, Office of Clearance and Settlement
Katherine P. Feld, Senior Special Counsel to the Deputy Director
Juanita B. Hamlett, Senior Accountant, Office of Risk Analysis and Surveillance
Rina Hussain, Assistant Director, National Broker-Dealer Exchange Group (BDX)
Helene K. McGee, Deputy Associate Director, FINRA and Securities Industry Oversight (FSIO)



3:30 Workshop F: Accounting
  • Accounting and auditing issues
  • Emerging practice issues

Speakers: Office of the Chief Accountant  
Karen Plunkett, Professional Accounting Fellow
Sheri York, Professional Accounting Fellow
Blaine Roundy, Senior Special Counsel



3:30 Workshop G: Trading and Markets
  • Fixed Income
  • Reg ATS
  • Trading practices and new products
  • Significant enforcement matters
  • Recent no-action letters, staff interpretations, and notable exemptive orders
  • Significant SRO rules
  • Clearing agency regulation and supervision
  • Title VII Status

Speakers: Division of Trading and Markets
Randall W. Roy (moderator), Deputy Associate Director
Raymond Lombardo, Assistant Director 
W. Carson McLean, Assistant Director
Jeffrey S. Mooney, Assistant Director
Andrew R. Bernstein, Senior Special Counsel
David Dimitrious, Senior Special Counsel
Tyler Raimo, Senior Special Counsel
Valerie Dahiya, Branch Chief
Neel Maitra, Attorney Adviser



3:30 Workshop H (Joint): Municipal Securities and Credit Ratings
  • Municipal advisors
  • Municipal market structure
  • Municipal securities disclosure
  • OCR’s international initiatives
  • OCR’s monitoring initiatives
  • OCR’s examination initiatives

Speakers: Office of Municipal Securities

Rebecca Olsen, Acting Director
Ahmed Abonamah, Senior Counsel to the Director
Adam Wendell, Attorney Adviser

Speakers: Office of Credit Ratings
Rita M. Bolger, Assistant Director
Kevin O’Neill, Assistant Director
Michele B. Wilham, Assistant Director

 


4:30 Adjourn

Co-Chair(s)
Stephanie Avakian ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
William H. Hinman ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Speaker(s)
Ahmed Abonamah ~ Senior Counsel to the Director, Office of Municipal Securities, U.S. Securities and Exchange Commission
Michele M. Anderson ~ Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Paul S. Atkins ~ Chief Executive Officer, Patomak Global Partners, LLC
Scott W. Bauguess ~ Deputy Chief Economist and Deputy Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Jeffrey A. Berger ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Andrew R. Bernstein ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Richard Best ~ Regional Director, Atlanta Regional Office, Division of Enforcement, U.S. Securities and Exchange Commission
Dalia Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Diane C. Blizzard ~ Associate Director, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Rita M. Bolger ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Jeffrey Boujoukos ~ Regional Director, Philadelphia Regional Office, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Richard C. Breeden ~ Chairman, Breeden Capital Management, LLC
Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, U.S. Securities and Exchange Commission
Mary Beth Breslin ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Wesley R. Bricker ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Tamara M. Brightwell ~ Senior Advisor, Division of Corporation Finance, U.S. Securities and Exchange Commission
Charles E. Cain ~ Chief, FCPA Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Roel C. Campos ~ Hughes Hubbard & Reed LLP
Keith E. Cassidy ~ Associate Director, Technology Controls Program (TCP), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Paul Cellupica ~ Deputy Director, Division of Investment Management, U.S. Securities and Exchange Commission
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Antonia Chion ~ Chief, Broker Dealer Task Force, and Associate Director, Home Office, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Jay Clayton ~ Chairman, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Chief, Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Laura D. Compton ~ Senior Special Counsel, International Regulatory Policy, Office of International Affairs, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Vanessa Countryman ~ Chief Counsel, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Valerie Dahiya ~ Branch Chief, Division of Trading and Markets, U.S. Securities and Exchange Commission
James M. Daly ~ Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Everardo de Armas ~ Branch Chief, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
David Dimitrious ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Peter B. Driscoll ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Timothy Dulaney ~ Senior Financial Analyst, Analytics Office, Division of Investment Management, U.S. Securities and Exchange Commission
Marlee M. Engel ~ Branch Chief, International Enforcement Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Allison Fakhoury ~ Senior Regulatory Counsel, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Katherine P. Feld ~ Senior Special Counsel to the Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Bridget Fitzpatrick ~ Chief Litigation Counsel, Division of Enforcement, U.S. Securities and Exchange Commission
Rick A. Fleming ~ Director, Office of Investor Advocate, U.S. Securities and Exchange Commission
Dominick V. Freda ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
David R. Fredrickson ~ Chief Counsel and Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Melissa Gainor ~ Senior Special Counsel, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Hon. Daniel M. Gallagher ~ Chief Legal Officer, Mylan N.V.
LeeAnn G. Gaunt ~ Chief, Public Finance Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Giulio Girardi ~ Branch Chief, Office of Risk Assessment, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Hon. Cynthia A. Glassman ~ Senior Research Scholar, Institute for Corporate Responsibility, George Washington University Business School
Kevin W. Goodman ~ Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Daniel R. Gregus ~ Associate Director, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Juanita B. Hamlett ~ Senior Accountant, Office of Risk Analysis and Surveillance, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Jeffrey H. Harris ~ Chief Economist and Division Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Jon Hertzke ~ Assistant Director, Analytics Office, Division of Investment Management, U.S. Securities and Exchange Commission
Rina Hussain ~ Assistant Director, National Broker-Dealer Exchange Group (BDX), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Kathleen M. Hutchinson ~ Assistant Director, International Regulatory Policy, Office of International Affairs, U.S. Securities and Exchange Commission
Hon. Robert J. Jackson, Jr. ~ Commissioner, U.S. Securities and Exchange Commission
Natasha Kaden ~ Senior Special Counsel, Cross-border Supervisory Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Jessica Kane ~ Acting Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Hon. Roberta S. Karmel ~ Centennial Professor of Law and Co-Director, Dennis J. Block Center for the Study of International Business Law, Brooklyn Law School
Thomas J. Karr ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael Kosoff ~ Senior Special Counsel, Disclosure Review and Accounting Office, Division of Investment Management, U.S. Securities and Exchange Commission
David D. Lisitza ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Neil Lombardo ~ Senior Special Counsel, Chief Counsel's Office, Division of Investment Management, U.S. Securities and Exchange Commission
Raymond Lombardo ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Michael A. Macchiaroli ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Neel Maitra ~ Attorney Adviser, Division of Trading and Markets, U.S. Securities and Exchange Commission
Donna McCaffrey ~ Special Trial Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Helene K. McGee ~ Deputy Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Thomas K. McGowan ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Margaret S. McGuire ~ Chief, Financial Reporting and Audit Group, Division of Enforcement, U.S. Securities and Exchange Commission
Rachel M. McKenzie ~ Senior Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
W. Carson McLean ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Matt S. McNair ~ Senior Special Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission
Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Dina B. Mishra ~ Attorney, Office of the General Counsel, U.S. Securities and Exchange Commission
Kyle Moffatt ~ Acting Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
Jeffrey S. Mooney ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Elizabeth M. Murphy ~ Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Annette L. Nazareth ~ Davis Polk & Wardwell LLP
Naseem Nixon ~ Senior Counsel, Office of the Director, Division of Investment Management, U.S. Securities and Exchange Commission
Rebecca Olsen ~ Acting Director, Office of Municipal Securities, U.S. Securities and Exchange Commission
Kevin O'Neill ~ Assistant Director, Office of Credit Ratings, US Securities and Exchange Commission
Hon. Troy A. Paredes ~ Founder, Paredes Strategies LLC,
Shelley E. Parratt ~ Deputy Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Hester M. Peirce ~ Commissioner, U.S. Securities and Exchange Commission
Narahari M. Phatak ~ Associate Director, Policy, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Hon. Harvey L. Pitt ~ Founder, CEO and Managing Director, Kalorama Partners, LLP; Kalorama Legal Services, PLLC
Hon. Michael S. Piwowar ~ Commissioner, U.S. Securities and Exchange Commission
Karen Plunkett ~ Professional Accounting Fellow, Office of the Chief Accountant, U.S. Securities and Exchange Commission
John S. Polise ~ Associate Director, National Broker-Dealer Exchange Program (BDX), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Sarah R. Prins ~ Senior Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Tyler Raimo ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Melissa Raminpour ~ Accounting Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Brett W. Redfearn ~ Director, Division of Trading and Markets, US Securities and Exchange Commission
John C. Roeser ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Blaine Roundy ~ Senior Special Counsel, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Randall W. Roy ~ Deputy Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Christian R. Sabella ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
David Saltiel ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Christian T. Sandoe ~ Assistant Director, Disclosure Review and Accounting Office, Division of Investment Management, U.S. Securities and Exchange Commission
Joseph Sansone ~ Chief, Market Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Heather A. Seidel ~ Chief Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Robert H. Shapiro ~ Branch Chief, Chief Counsel's Office, Division of Investment Management, U.S. Securities and Exchange Commission
David S. Shillman ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Kristin A. Snyder ~ Co-National Associate Director, Investment Adviser/Investment Company Examination Program (IA/IC), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Alison Staloch ~ Chief Accountant, Division of Investment Management, U.S. Securities and Exchange Commission
Robert B. Stebbins ~ General Counsel, Office of the General Counsel, U.S. Securites and Exchange Commission
Hon. Kara M. Stein ~ Commissioner, U.S. Securities and Exchange Commission
Robert F. Telewicz Jr. ~ Accounting Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Laura S. Unger ~ Independent Director and Private Consultant,
Hon. Steven M. H. Wallman ~ Chief Executive Officer, FOLIOfn, Inc.
Scott Walster ~ Assistant Director, Office of Litigation Economics, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Adam Wendell ~ Attorney Adviser, Office of Municipal Securities, U.S. Securities and Exchange Commission
Michele B. Wilham ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Jan Woo ~ Legal Branch Chief, Office of Information Technologies and Services, Division of Corporation Finance, U.S. Securities and Exchange Commission
Charles Wright ~ Senior Legal Advisor to the Chief Accountant, Division of Enforcement, U.S. Securities and Exchange Commission
Stephen G. Yoder ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Sheri York ~ Professional Accounting Fellow, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute
Washington, D.C. Seminar Location

Ronald Reagan Building and International Trade Center, 1300 Pennsylvania Avenue, NW, Washington, D.C., 20004. (202) 312-1300.

Hotel Accommodations

A block of rooms has been reserved at the Willard Intercontinental, 1401 Pennsylvania Avenue, Washington, D.C. , 20004.  Please contact the hotel directly at 888-424-6835 and reference Practising Law Institute or Group Code: IGT.  The cut off date for the preferred rate is January 31, 2018.  You may also book on line at  Practising Law Institute February 2018.

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.


U.S. MCLE States

Alabama: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars 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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

California:  PLI’s live seminars 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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Iowa:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Kansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Louisiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Maine:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Minnesota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Mississippi:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Missouri:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Montana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nebraska:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nevada:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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

New Jersey:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Mexico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars can be used to fulfill the requirements for newly admitted attorneys. All credit categories may be earned via transitional live seminars.

North Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars

North Dakota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Ohio:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oklahoma:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Puerto Rico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Rhode Island:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

South Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Tennessee:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Vermont:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

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 live seminars qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

West Virginia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wisconsin:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wyoming:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live seminars qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live seminars qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC): PLI’s live seminars can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live seminars qualify as “live” credit. There is no limit to the number of points an attorney can earn via live seminars.

United Kingdom (CPD-UK):  PLI’s live seminars can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live seminars qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via live seminars.

Other Credit Types

CPE Credit (NASBA): PLI’s live seminars qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE): PLI’s live seminars 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 live seminars 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 live seminars may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live seminars may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live seminars qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live seminars qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live seminars may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live seminars may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live seminars may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live seminars may fulfill CFP credit requirements.

 

Why You Should Attend  

At the beginning of each year, PLI presents, in cooperation with the U.S. Securities and Exchange Commission, The SEC Speaks program, which provides an essential update on the current initiatives at the Commission, as well as the priorities of the Commission for the coming year. At this unique program, you will hear remarks by the Chairman, and Commissioners, and Investor Advocate, as well as panel discussions by senior staff at the Divisions of Corporation Finance, Economic and Risk Analysis, Enforcement, Investment Management, and Trading and Markets, and the Offices of the Chief Accountant, General Counsel, Compliance Inspections and Examinations, Municipal Securities, Credit Ratings, and International Affairs. You will also hear commentary from former Chairmen and Commissioners and have the opportunity to receive answers to your most pressing questions in the smaller breakout workshop sessions at the end of each program day.

On Friday, registrants may attend one of the following Workshop Sessions:

Workshop A: Corporation Finance*
Workshop B: Investment Management
Workshop C: Enforcement*
Workshop D: International Affairs

On Saturday, registrants may attend one of the following Workshop Sessions:

Workshop E: Compliance Inspections and Examinations*
Workshop F: Accounting
Workshop G: Trading & Markets*
Workshop H (Joint): Municipal Securities and Credit Ratings

* Please note: One Workshop will be Webcast each program day and One Workshop will be audio recorded and made available as part of the archive.

On Friday - Workshop A: Corporation Finance will be webcast, and Workshop C: Enforcement will be audio recorded.
On Saturday - Workshop G: Trading and Markets will be webcast, and Workshop E: Compliance Inspections and Examinations will be audio recorded.

Who Should Attend

Securities and corporate attorneys in private practice or in-house, CEOs, CFOs, and others in senior management involved in decision-making impacted by securities laws.

Special Features

  • All attendees and speakers are invited to a cocktail reception on Friday evening, immediately following the afternoon session.
  • The Association of Securities and Exchange Commission Alumni, Inc. (ASECA) will give its annual dinner on Friday, February 24, immediately following the conference and cocktail reception. For further information, go to www.SECalumni.org

PLI Group Discounts

Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.

Day One: 8:30 a.m. - 5:45 p.m.

8:30 Opening Remarks
Stephanie Avakian, Co-Director, Division of Enforcement
Steven R. Peikin, Co-Director, Division of Enforcement
William H. Hinman, Director, Division of Corporation Finance

8:45 Chairman’s Remarks
Hon. Jay Clayton

9:05 Corporation Finance

Corporation Finance

  • Update on Division rulemakings and guidance
  • Interpretive developments
  • Other Division initiatives

Speakers: Division of Corporation Finance
William H. Hinman, Director
Shelley E. Parratt, Deputy Director
David R. Fredrickson, Chief Counsel and Associate Director
Elizabeth M. Murphy, Associate Director
Tamara M. Brightwell, Senior Advisor
Matt S. McNair, Senior Special Counsel
Commentators:
Hon. Paul S. Atkins
Hon. Edward H. Fleischman
Hon. Troy A. Paredes



10:10 Commissioner’s Remarks
Hon. Kara M. Stein

10:30 Networking Break

10:45 Investment Management
  • Division initiatives and rulemakings
  • Interpretive developments
  • Disclosure and analytics trends
(CFE Field of Study: Fraud)

Speakers: Division of Investment Management
Dalia Blass, Director
Paul Cellupica, Deputy Director
Diane C. Blizzard, Associate Director, Rulemaking Office
Christian T. Sandoe, Assistant Director, Disclosure Review and Accounting Office
Timothy Dulaney, Senior Financial Analyst, Analytics Office
Commentators:
Hon. Richard C. Breeden
Hon. Daniel M. Gallagher
Hon. Laura S. Unger




11:50 Lunch

1:05 Commissioners' Roundtable
Hon. Michael S. Piwowar
Hon. Robert J. Jackson Jr.
Hon. Hester M. Peirce

2:05 Enforcement
  • Overview and observations
  • Legal and policy developments
  • Litigation developments
  • Cyber matters
  • Asset management and retail investor matters
  • Other Division priorities and initiatives 
(CFE Field of Study: Fraud)

Speakers: Division of Enforcement
Stephanie Avakian, Co-Director
Steven R. Peikin, Co-Director
Joseph K. Brenner, Chief Counsel
Bridget Fitzpatrick, Chief Litigation Counsel
Robert A. Cohen, Chief, Cyber Unit
Anthony S. Kelly, Co-Chief, Asset Management Unit
Richard Best, Regional Director, Atlanta Regional Office
Commentators:
Hon. Roel C. Campos
Hon. Daniel M. Gallagher
Hon. Harvey L. Pitt


3:10 Networking Break

3:25 Judicial and Legislative Developments
  • Judicial and Legislative Developments
  • Liability for disclosure violations
  • Appointments Clause challenges
  • Whistleblower retaliation protection
  • Tipping liability for insider trading
  • Statute of limitations for disgorgement
(CFE Field of Study: Fraud)

Speakers:  Office of the General Counsel
Robert B. Stebbins, General Counsel
Michael A. Conley, Solicitor
Dominick V. Freda, Assistant General Counsel
Jeffrey A. Berger, Senior Litigation Counsel
David D. Lisitza, Senior Litigation Counsel
Stephen G. Yoder, Senior Litigation Counsel
Sarah R. Prins, Senior Counsel
Rachel M. McKenzie, Senior Counsel
Dina B. Mishra, Attorney
Commentators:
Hon. Roberta S. Karmel
Hon. Annette L. Nazareth



4:30 Networking Break

4:45 Workshop A: Corporation Finance
  • Disclosure and processing developments
  • Accounting and financial reporting issues
(CFE Field of Study: Fraud)

Speakers: Division of Corporation Finance
Michele M. Anderson, Associate Director
James M. Daly, Associate Director
Mary Beth Breslin, Legal Branch Chief
Melissa Raminpour, Accounting Branch Chief
Robert F. Telewicz, Jr., Accounting Branch Chief
Jan Woo, Legal Branch Chief, Office of Information Technologies and Services



4:45 Workshop B: Investment Management
  • Dialogue and outreach
  • Fund disclosure and processing developments
  • Data analytics and trends
  • Enforcement and rulemaking updates
(CFE Field of Study: Fraud)

Speakers: Division of Investment Management
Melissa Gainor, Senior Special Counsel, Rulemaking Office
Jon Hertzke, Assistant Director, Analytics Office
Michael Kosoff, Senior Special Counsel, Disclosure Review and Accounting Office
Neil Lombardo, Senior Special Counsel, Chief Counsel’s Office
Naseem Nixon, Senior Counsel, Office of the Director
Robert H. Shapiro, Branch Chief, Chief Counsel’s Office



4:45 Workshop C: Enforcement
  • Retail strategy matters
  • FCPA matters
  • Financial fraud and audit matters
  • Complex financial instruments matters
  • Broker-Dealer practices
  • Market abuse and market structure matters
  • Public finance abuse
(CFE Field of Study: Fraud)
Speakers: Division of Enforcement
Jeffrey Boujoukos, Regional Director, Philadelphia Regional Office
Charu Chandrasekhar, Chief, Retail Strategy Task Force
Charles E. Cain, Chief, FCPA Unit
Margaret S. McGuire, Chief, Financial Reporting and Audit Group
Daniel Michael, Chief, Complex Financial Instruments Unit
Antonia Chion, Chief, Broker Dealer Task Force, and Associate Director, Home Office
Joseph Sansone, Chief, Market Abuse Unit
LeeAnn G. Gaunt, Chief, Public Finance Abuse Unit

4:45 Workshop D: International Affairs
  • International regulatory policy
  • Cross-border supervisory cooperation
  • Cross-border enforcement investigations
(CFE Field of Study: Fraud)

Speakers: Office of International Affairs
Kathleen M. Hutchinson, Assistant Director, International Regulatory Policy
Laura D. Compton, Senior Special Counsel, International Regulatory Policy
Natasha Kaden, Senior Special Counsel, Cross-border Supervisory Cooperation
Marlee M. Engel, Branch Chief, International Enforcement Cooperation

 



5:45 Adjourn

Day Two: 8:30 a.m. - 4:30 p.m.

8:30 Remarks by the Investor Advocate Rick A. Fleming

8:45 Compliance Inspections and Examinations
  • 2018 Examination Priorities

Speakers:
Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations
Jessica Kane, Acting Director, Office of Credit Ratings
Keith E. Cassidy, Associate Director, Technology Controls Program (TCP), Office of Compliance Inspections and Examinations
Kevin W. Goodman, Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations
Daniel R. Gregus, Associate Director, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations
Daniel S. Kahl, Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations
John S. Polise, Associate Director, National Broker-Dealer Exchange Program (BDX), Office of Compliance Inspections and Examinations
Kristin A. Snyder, Co-National Associate Director, Investment Adviser/Investment Company Examination Program (IA/IC), Office of Compliance Inspections and Examinations
Commentators:
Hon. Roel C. Campos
Hon. Harvey L. Pitt



9:50 Accounting
  • Current financial disclosure issues
  • Accounting and auditing issues
  • Emerging practice issues
  • Enforcement issues and trends
(CPE Field of Study: Accounting)

Speakers:
Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant
Kyle Moffatt, Acting Chief Accountant, Division of Corporation Finance
Charles Wright, Senior Legal Advisor to the Chief Accountant, Division of Enforcement
Alison Staloch, Chief Accountant, Division of Investment Management
Commentators:
Hon. Roel C. Campos
Hon. Cynthia A. Glassman

10:55 Networking Break

11:10 Economic and Risk Analysis
  • DERA overview and update
  • Use of research in SEC rulemaking
  • Use of AI and machine learning in market risk sssessment
  • Regulatory reform and changes in market liquidity
  • Economic analysis in SEC enforcement
  • Portfolio, investor, and financing liquidity at hedge funds

Speakers: Division of Economic and Risk Analysis 
Jeffrey H. Harris, Chief Economist and Division Director
Vanessa Countryman, Chief Counsel
Scott W. Bauguess, Deputy Chief Economist and Deputy Director
Narahari M. Phatak, Associate Director, Policy
Scott Walster, Assistant Director, Office of Litigation Economics
Giulio Girardi, Branch Chief, Office of Risk Assessment
Commentators:
Hon. Cynthia A. Glassman
Hon. Steven M. H. Wallman



12:15 Lunch

1:15 Trading and Markets
  • Market structure
  • Dodd-Frank implementation
  • Clearance and settlement
  • Risk analytics
  • Broker-Dealer issues

Speakers: Division of Trading and Markets
Brett W. Redfearn, Director
Michael A. Macchiaroli, Associate Director
Thomas K. McGowan, Associate Director
John C. Roeser, Associate Director
Christian R. Sabella, Associate Director
David Saltiel, Associate Director
Heather A. Seidel, Chief Counsel
David S. Shillman, Associate Director
Commentators:
Hon. Paul S. Atkins
Hon. Daniel M. Gallagher



2:20 Ethics
  • Overview of Commission’s Rule 102(e) program for attorneys
  • Recent case developments in discipline of attorneys appearing and practicing before the SEC
  • Other ethical issues for practitioners before the Commission

Speakers: Office of the General Counsel
Jeff Rosenblum, Deputy General Counsel
Thomas J. Karr, Assistant General Counsel
Donna McCaffrey, Special Trial Counsel
Commentators:
Hon. Paul S. Atkins
Hon. Edward H. Fleischman



3:20 Networking Break

3:30 Workshop E: Compliance Inspections and Examinations
  • Common risks and themes from 2017 exams and 2018 priorities
  • Risk identification and industry trends

Speakers: Office of Compliance Inspections and Examinations
Everardo de Armas, Branch Chief
Allison Fakhoury, Senior Regulatory Counsel, Office of Clearance and Settlement
Katherine P. Feld, Senior Special Counsel to the Deputy Director
Juanita B. Hamlett, Senior Accountant, Office of Risk Analysis and Surveillance
Rina Hussain, Assistant Director, National Broker-Dealer Exchange Group (BDX)
Helene K. McGee, Deputy Associate Director, FINRA and Securities Industry Oversight (FSIO)



3:30 Workshop F: Accounting
  • Accounting and auditing issues
  • Emerging practice issues

Speakers: Office of the Chief Accountant  
Karen Plunkett, Professional Accounting Fellow
Sheri York, Professional Accounting Fellow
Blaine Roundy, Senior Special Counsel



3:30 Workshop G: Trading and Markets
  • Fixed Income
  • Reg ATS
  • Trading practices and new products
  • Significant enforcement matters
  • Recent no-action letters, staff interpretations, and notable exemptive orders
  • Significant SRO rules
  • Clearing agency regulation and supervision
  • Title VII Status

Speakers: Division of Trading and Markets
Randall W. Roy (moderator), Deputy Associate Director
Raymond Lombardo, Assistant Director 
W. Carson McLean, Assistant Director
Jeffrey S. Mooney, Assistant Director
Andrew R. Bernstein, Senior Special Counsel
David Dimitrious, Senior Special Counsel
Tyler Raimo, Senior Special Counsel
Valerie Dahiya, Branch Chief
Neel Maitra, Attorney Adviser



3:30 Workshop H (Joint): Municipal Securities and Credit Ratings
  • Municipal advisors
  • Municipal market structure
  • Municipal securities disclosure
  • OCR’s international initiatives
  • OCR’s monitoring initiatives
  • OCR’s examination initiatives

Speakers: Office of Municipal Securities

Rebecca Olsen, Acting Director
Ahmed Abonamah, Senior Counsel to the Director
Adam Wendell, Attorney Adviser

Speakers: Office of Credit Ratings
Rita M. Bolger, Assistant Director
Kevin O’Neill, Assistant Director
Michele B. Wilham, Assistant Director

 


4:30 Adjourn

Co-Chair(s)
Stephanie Avakian ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
William H. Hinman ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Speaker(s)
Ahmed Abonamah ~ Senior Counsel to the Director, Office of Municipal Securities, U.S. Securities and Exchange Commission
Michele M. Anderson ~ Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Paul S. Atkins ~ Chief Executive Officer, Patomak Global Partners, LLC
Scott W. Bauguess ~ Deputy Chief Economist and Deputy Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Jeffrey A. Berger ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Andrew R. Bernstein ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Richard Best ~ Regional Director, Atlanta Regional Office, Division of Enforcement, U.S. Securities and Exchange Commission
Dalia Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Diane C. Blizzard ~ Associate Director, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Rita M. Bolger ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Jeffrey Boujoukos ~ Regional Director, Philadelphia Regional Office, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Richard C. Breeden ~ Chairman, Breeden Capital Management, LLC
Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, U.S. Securities and Exchange Commission
Mary Beth Breslin ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Wesley R. Bricker ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Tamara M. Brightwell ~ Senior Advisor, Division of Corporation Finance, U.S. Securities and Exchange Commission
Charles E. Cain ~ Chief, FCPA Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Roel C. Campos ~ Hughes Hubbard & Reed LLP
Keith E. Cassidy ~ Associate Director, Technology Controls Program (TCP), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Paul Cellupica ~ Deputy Director, Division of Investment Management, U.S. Securities and Exchange Commission
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Antonia Chion ~ Chief, Broker Dealer Task Force, and Associate Director, Home Office, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Jay Clayton ~ Chairman, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Chief, Cyber Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Laura D. Compton ~ Senior Special Counsel, International Regulatory Policy, Office of International Affairs, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Vanessa Countryman ~ Chief Counsel, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Valerie Dahiya ~ Branch Chief, Division of Trading and Markets, U.S. Securities and Exchange Commission
James M. Daly ~ Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Everardo de Armas ~ Branch Chief, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
David Dimitrious ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Peter B. Driscoll ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Timothy Dulaney ~ Senior Financial Analyst, Analytics Office, Division of Investment Management, U.S. Securities and Exchange Commission
Marlee M. Engel ~ Branch Chief, International Enforcement Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Allison Fakhoury ~ Senior Regulatory Counsel, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Katherine P. Feld ~ Senior Special Counsel to the Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Bridget Fitzpatrick ~ Chief Litigation Counsel, Division of Enforcement, U.S. Securities and Exchange Commission
Rick A. Fleming ~ Director, Office of Investor Advocate, U.S. Securities and Exchange Commission
Dominick V. Freda ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
David R. Fredrickson ~ Chief Counsel and Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Melissa Gainor ~ Senior Special Counsel, Rulemaking Office, Division of Investment Management, U.S. Securities and Exchange Commission
Hon. Daniel M. Gallagher ~ Chief Legal Officer, Mylan N.V.
LeeAnn G. Gaunt ~ Chief, Public Finance Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Giulio Girardi ~ Branch Chief, Office of Risk Assessment, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Hon. Cynthia A. Glassman ~ Senior Research Scholar, Institute for Corporate Responsibility, George Washington University Business School
Kevin W. Goodman ~ Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Daniel R. Gregus ~ Associate Director, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Juanita B. Hamlett ~ Senior Accountant, Office of Risk Analysis and Surveillance, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Jeffrey H. Harris ~ Chief Economist and Division Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Jon Hertzke ~ Assistant Director, Analytics Office, Division of Investment Management, U.S. Securities and Exchange Commission
Rina Hussain ~ Assistant Director, National Broker-Dealer Exchange Group (BDX), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Kathleen M. Hutchinson ~ Assistant Director, International Regulatory Policy, Office of International Affairs, U.S. Securities and Exchange Commission
Hon. Robert J. Jackson, Jr. ~ Commissioner, U.S. Securities and Exchange Commission
Natasha Kaden ~ Senior Special Counsel, Cross-border Supervisory Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Daniel S. Kahl ~ Chief Counsel and Associate Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Jessica Kane ~ Acting Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Hon. Roberta S. Karmel ~ Centennial Professor of Law and Co-Director, Dennis J. Block Center for the Study of International Business Law, Brooklyn Law School
Thomas J. Karr ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Michael Kosoff ~ Senior Special Counsel, Disclosure Review and Accounting Office, Division of Investment Management, U.S. Securities and Exchange Commission
David D. Lisitza ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Neil Lombardo ~ Senior Special Counsel, Chief Counsel's Office, Division of Investment Management, U.S. Securities and Exchange Commission
Raymond Lombardo ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Michael A. Macchiaroli ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Neel Maitra ~ Attorney Adviser, Division of Trading and Markets, U.S. Securities and Exchange Commission
Donna McCaffrey ~ Special Trial Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Helene K. McGee ~ Deputy Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Thomas K. McGowan ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Margaret S. McGuire ~ Chief, Financial Reporting and Audit Group, Division of Enforcement, U.S. Securities and Exchange Commission
Rachel M. McKenzie ~ Senior Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
W. Carson McLean ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Matt S. McNair ~ Senior Special Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission
Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Dina B. Mishra ~ Attorney, Office of the General Counsel, U.S. Securities and Exchange Commission
Kyle Moffatt ~ Acting Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
Jeffrey S. Mooney ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Elizabeth M. Murphy ~ Associate Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Annette L. Nazareth ~ Davis Polk & Wardwell LLP
Naseem Nixon ~ Senior Counsel, Office of the Director, Division of Investment Management, U.S. Securities and Exchange Commission
Rebecca Olsen ~ Acting Director, Office of Municipal Securities, U.S. Securities and Exchange Commission
Kevin O'Neill ~ Assistant Director, Office of Credit Ratings, US Securities and Exchange Commission
Hon. Troy A. Paredes ~ Founder, Paredes Strategies LLC,
Shelley E. Parratt ~ Deputy Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Hester M. Peirce ~ Commissioner, U.S. Securities and Exchange Commission
Narahari M. Phatak ~ Associate Director, Policy, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Hon. Harvey L. Pitt ~ Founder, CEO and Managing Director, Kalorama Partners, LLP; Kalorama Legal Services, PLLC
Hon. Michael S. Piwowar ~ Commissioner, U.S. Securities and Exchange Commission
Karen Plunkett ~ Professional Accounting Fellow, Office of the Chief Accountant, U.S. Securities and Exchange Commission
John S. Polise ~ Associate Director, National Broker-Dealer Exchange Program (BDX), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Sarah R. Prins ~ Senior Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Tyler Raimo ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Melissa Raminpour ~ Accounting Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Brett W. Redfearn ~ Director, Division of Trading and Markets, US Securities and Exchange Commission
John C. Roeser ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Blaine Roundy ~ Senior Special Counsel, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Randall W. Roy ~ Deputy Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Christian R. Sabella ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
David Saltiel ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Christian T. Sandoe ~ Assistant Director, Disclosure Review and Accounting Office, Division of Investment Management, U.S. Securities and Exchange Commission
Joseph Sansone ~ Chief, Market Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Heather A. Seidel ~ Chief Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Robert H. Shapiro ~ Branch Chief, Chief Counsel's Office, Division of Investment Management, U.S. Securities and Exchange Commission
David S. Shillman ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Kristin A. Snyder ~ Co-National Associate Director, Investment Adviser/Investment Company Examination Program (IA/IC), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Alison Staloch ~ Chief Accountant, Division of Investment Management, U.S. Securities and Exchange Commission
Robert B. Stebbins ~ General Counsel, Office of the General Counsel, U.S. Securites and Exchange Commission
Hon. Kara M. Stein ~ Commissioner, U.S. Securities and Exchange Commission
Robert F. Telewicz Jr. ~ Accounting Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Laura S. Unger ~ Independent Director and Private Consultant,
Hon. Steven M. H. Wallman ~ Chief Executive Officer, FOLIOfn, Inc.
Scott Walster ~ Assistant Director, Office of Litigation Economics, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Adam Wendell ~ Attorney Adviser, Office of Municipal Securities, U.S. Securities and Exchange Commission
Michele B. Wilham ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Jan Woo ~ Legal Branch Chief, Office of Information Technologies and Services, Division of Corporation Finance, U.S. Securities and Exchange Commission
Charles Wright ~ Senior Legal Advisor to the Chief Accountant, Division of Enforcement, U.S. Securities and Exchange Commission
Stephen G. Yoder ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Sheri York ~ Professional Accounting Fellow, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute
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. If two or more individuals wish to participate in a webcast and receive credit, PLI would be happy to provide a Groupcast – group viewing of a webcast. To schedule a Groupcast, please contact PLI at groupcasts@pli.edu.


U.S. MCLE States

Alabama:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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 live webcasts 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 live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

California:  PLI’s live webcasts 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 live webcasts qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period.

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 live webcasts 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 live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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 live webcasts qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period.

Iowa:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kentucky:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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

Maine:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Minnesota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Mississippi:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Montana:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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

Nevada:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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

New Jersey:  PLI’s live webcasts 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 live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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 live webcasts can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live webcasts. Skills credits may not be earned via live webcasts.

North Carolina:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

North Dakota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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

Oklahoma:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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 live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

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

Rhode Island:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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

Tennessee:  PLI’s live webcasts 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 live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

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 live webcasts qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

West Virginia:  PLI’s live webcasts qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Wyoming:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live webcasts qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live webcasts qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live webcasts can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 15 points of distance learning programs per reporting period.

United Kingdom (CPD-UK):  PLI’s live webcasts can fulfill the United Kingdom’s CPD requirements.

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

Other Credit Types

CPE Credit (NASBA):  PLI’s live webcasts qualify as “Group-Internet-Based” (GIB) credit.

IRS Continuing Education (IRS-CE):  PLI’s live webcasts 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 live webcasts 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 live webcasts may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live webcasts may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live webcasts qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live webcasts qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live webcasts may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live webcasts may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live webcasts may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live webcasts may fulfill CFP credit requirements.

 

Related Items

On-Demand  On-Demand Programs

SEC Speaks in 2017 Mar. 3, 2017

Handbook  Course Handbook Archive

The SEC Speaks in 2018 William H Hinman, U.S. Securities and Exchange Commission
Stephanie Avakian, U.S. Securities and Exchange Commission
Steven R Peikin, U.S. Securities and Exchange Commission
 
The SEC Speaks in 2017 Marc Wyatt, U.S. Securities and Exchange Commission
David W Grim, U.S. Securities and Exchange Commission
 
Share
Email

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

All Contents Copyright © 1996-2018 Practising Law Institute. Continuing Legal Education since 1933.

© 2018 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.