Seminar  Program

Broker/Dealer Regulation and Enforcement 2018


Select a Location:

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus
PLI’s blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will address the many significant developments and trends in the regulation and oversight of broker-dealers.  As uncertainty remains around whether any major regulatory change will  be forthcoming,  the regulators are forging  ahead with their regulatory agendas and priorities.  The DOJ, SEC, CFTC, state regulators and FINRA  are focused on a number of hot issues  including , in particular,  cybersecurity, protection of retail investors and identification and management of market risks, and recent emerging issues such as Cryptocurrency and Initial Coin Offerings.   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.

What 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

Who Should Attend

In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

 

Program Level: Update

Intended Audience: In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

Prerequisites: An interest in broker/dealer and investment management issues.

Advanced Preparation: None 

 


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.

9:00 Opening Remarks

Carmen J. Lawrence, Colleen P. Mahoney



9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

  • Significant SEC, CFTC and DOJ enforcement initiatives
  • FINRA  examinations and enforcement
  • Market abuse, including cyber-crime, cryptocurrency, market manipulation,  insider trading; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud,; AML; spoofing; FCPA; financial reporting; gatekeepers;  and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Wayne M. Carlin, Jacquelyn Kasulis, Lara Shalov Mehraban, Susan Schroeder

 



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities

State regulators will review regulatory initiatives, developments and priorities, and offer insights for avoiding and responding to state regulatory matters.

  • Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
  • Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud
  • Cryptocurrency

Moderator: Nader Hossain Salehi
Speakers: Cece Baute Mavico, A. Valerie Mirko



12:30 Networking Break

12:45 Luncheon Keynote: Marc P. Berger, Regional Director, New York Regional Office, U.S. Securities and Exchange Commission

Please note, credit is not offered for this segment.



1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

  • Exam priorities
    • Retail investors including electronic investment advice and wrap fee programs;
    • Senior investors and retirement investments, sales practices;
    • Market wide risks, including AML and Regulation SCI
    • Operational risks including cybersecurity and customer protection
    • Financial risk management
    • FINRA
  • Current rule initiatives, including: Dodd-Frank rulemaking and study update.
Moderator: Stephen Luparello
Speakers: TBD




2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms’ regulatory exposure, as well as their expectations of outside counsel. Topics will include:

  • Managing the regulatory process
  • Challenges and strategies for keeping up with complex businesses
  • Handling whistleblower complaints
  • Advising supervisors and employees
  • Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: David M. Levine, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer

 



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review challenges they face managing compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

  • Approaches for assessing program effectiveness
  • Strategies for maintaining a robust program
  • International and cross-border regulatory and compliance issues
  • Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Henry Klehm III, Daniel E. Kosowsky, Andrew L. Weinberg



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Moderator(s)
Stephen Luparello ~ General Counsel, Citadel Securities
Ghillaine A. Reid ~ McGuireWoods LLP
Nader Hossain Salehi ~ Sidley Austin LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Jacquelyn Kasulis ~ Chief, Business and Securities Fraud Section, U.S. Attorney's Office, Eastern District of New York, U.S. Department of Justice
Henry Klehm III ~ Jones Day
Daniel E. Kosowsky ~ Managing Director, Morgan Stanley
David M. Levine ~ Chief Legal Officer, Oz Management LLC
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial LLC
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
A. Valerie Mirko ~ General Counsel, North American Securities Administrators Association
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Joaquin M. Sena ~ Deputy General Counsel; Legal Exec-Regulatory Inquiries & LATAM Liquidating, Bank of America
Andrew Stemmer ~ Head of Litigation & Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Andrew L. Weinberg ~ Managing Director, Compliance Executive, Bank of America
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute

New York City Seminar Location

PLI New York Center
, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. (800) 260-4754.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute and Corporate Rate ID 786839408. In addition, you can book online at PLI Muse Hotel

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. In addition, you can book online at PLI Millennium Hotel .

 Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or 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.


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

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.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s live seminars may fulfill CLPD credit requirements.

Other Credit Types

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

 

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus
PLI’s blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will address the many significant developments and trends in the regulation and oversight of broker-dealers.  As uncertainty remains around whether any major regulatory change will  be forthcoming,  the regulators are forging  ahead with their regulatory agendas and priorities.  The DOJ, SEC, CFTC, state regulators and FINRA  are focused on a number of hot issues  including , in particular,  cybersecurity, protection of retail investors and identification and management of market risks, and recent emerging issues such as Cryptocurrency and Initial Coin Offerings.   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.

What 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

Who Should Attend

In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

 

Program Level: Update

Intended Audience: In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

Prerequisites: An interest in broker/dealer and investment management issues.

Advanced Preparation: None 

 


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.

9:00 Opening Remarks

Carmen J. Lawrence, Colleen P. Mahoney



9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

  • Significant SEC, CFTC and DOJ enforcement initiatives
  • FINRA  examinations and enforcement
  • Market abuse, including cyber-crime, cryptocurrency, market manipulation,  insider trading; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud,; AML; spoofing; FCPA; financial reporting; gatekeepers;  and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Wayne M. Carlin, Jacquelyn Kasulis, Lara Shalov Mehraban, Susan Schroeder

 



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities

State regulators will review regulatory initiatives, developments and priorities, and offer insights for avoiding and responding to state regulatory matters.

  • Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
  • Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud
  • Cryptocurrency

Moderator: Nader Hossain Salehi
Speakers: Cece Baute Mavico, A. Valerie Mirko



12:30 Networking Break

12:45 Luncheon Keynote: Marc P. Berger, Regional Director, New York Regional Office, U.S. Securities and Exchange Commission

Please note, credit is not offered for this segment.



1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

  • Exam priorities
    • Retail investors including electronic investment advice and wrap fee programs;
    • Senior investors and retirement investments, sales practices;
    • Market wide risks, including AML and Regulation SCI
    • Operational risks including cybersecurity and customer protection
    • Financial risk management
    • FINRA
  • Current rule initiatives, including: Dodd-Frank rulemaking and study update.
Moderator: Stephen Luparello
Speakers: TBD




2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms’ regulatory exposure, as well as their expectations of outside counsel. Topics will include:

  • Managing the regulatory process
  • Challenges and strategies for keeping up with complex businesses
  • Handling whistleblower complaints
  • Advising supervisors and employees
  • Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: David M. Levine, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer

 



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review challenges they face managing compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

  • Approaches for assessing program effectiveness
  • Strategies for maintaining a robust program
  • International and cross-border regulatory and compliance issues
  • Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Henry Klehm III, Daniel E. Kosowsky, Andrew L. Weinberg



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Moderator(s)
Stephen Luparello ~ General Counsel, Citadel Securities
Ghillaine A. Reid ~ McGuireWoods LLP
Nader Hossain Salehi ~ Sidley Austin LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Jacquelyn Kasulis ~ Chief, Business and Securities Fraud Section, U.S. Attorney's Office, Eastern District of New York, U.S. Department of Justice
Henry Klehm III ~ Jones Day
Daniel E. Kosowsky ~ Managing Director, Morgan Stanley
David M. Levine ~ Chief Legal Officer, Oz Management LLC
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial LLC
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
A. Valerie Mirko ~ General Counsel, North American Securities Administrators Association
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Joaquin M. Sena ~ Deputy General Counsel; Legal Exec-Regulatory Inquiries & LATAM Liquidating, Bank of America
Andrew Stemmer ~ Head of Litigation & Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Andrew L. Weinberg ~ Managing Director, Compliance Executive, Bank of America
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:  All PLI products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

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.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s live webcasts may fulfill CLPD credit requirements.

Other Credit Types

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

 

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus
PLI’s blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will address the many significant developments and trends in the regulation and oversight of broker-dealers.  As uncertainty remains around whether any major regulatory change will  be forthcoming,  the regulators are forging  ahead with their regulatory agendas and priorities.  The DOJ, SEC, CFTC, state regulators and FINRA  are focused on a number of hot issues  including , in particular,  cybersecurity, protection of retail investors and identification and management of market risks, and recent emerging issues such as Cryptocurrency and Initial Coin Offerings.   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.

What 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

Who Should Attend

In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

 

Program Level: Update

Intended Audience: In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

Prerequisites: An interest in broker/dealer and investment management issues.

Advanced Preparation: None 

 


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.

9:00 Opening Remarks

Carmen J. Lawrence, Colleen P. Mahoney



9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

  • Significant SEC, CFTC and DOJ enforcement initiatives
  • FINRA  examinations and enforcement
  • Market abuse, including cyber-crime, cryptocurrency, market manipulation,  insider trading; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud,; AML; spoofing; FCPA; financial reporting; gatekeepers;  and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Wayne M. Carlin, Jacquelyn Kasulis, Lara Shalov Mehraban, Susan Schroeder

 



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities

State regulators will review regulatory initiatives, developments and priorities, and offer insights for avoiding and responding to state regulatory matters.

  • Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
  • Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud
  • Cryptocurrency

Moderator: Nader Hossain Salehi
Speakers: Cece Baute Mavico, A. Valerie Mirko



12:30 Networking Break

12:45 Luncheon Keynote: Marc P. Berger, Regional Director, New York Regional Office, U.S. Securities and Exchange Commission

Please note, credit is not offered for this segment.



1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

  • Exam priorities
    • Retail investors including electronic investment advice and wrap fee programs;
    • Senior investors and retirement investments, sales practices;
    • Market wide risks, including AML and Regulation SCI
    • Operational risks including cybersecurity and customer protection
    • Financial risk management
    • FINRA
  • Current rule initiatives, including: Dodd-Frank rulemaking and study update.
Moderator: Stephen Luparello
Speakers: TBD




2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms’ regulatory exposure, as well as their expectations of outside counsel. Topics will include:

  • Managing the regulatory process
  • Challenges and strategies for keeping up with complex businesses
  • Handling whistleblower complaints
  • Advising supervisors and employees
  • Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: David M. Levine, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer

 



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review challenges they face managing compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

  • Approaches for assessing program effectiveness
  • Strategies for maintaining a robust program
  • International and cross-border regulatory and compliance issues
  • Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Henry Klehm III, Daniel E. Kosowsky, Andrew L. Weinberg



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Moderator(s)
Stephen Luparello ~ General Counsel, Citadel Securities
Ghillaine A. Reid ~ McGuireWoods LLP
Nader Hossain Salehi ~ Sidley Austin LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Jacquelyn Kasulis ~ Chief, Business and Securities Fraud Section, U.S. Attorney's Office, Eastern District of New York, U.S. Department of Justice
Henry Klehm III ~ Jones Day
Daniel E. Kosowsky ~ Managing Director, Morgan Stanley
David M. Levine ~ Chief Legal Officer, Oz Management LLC
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial LLC
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
A. Valerie Mirko ~ General Counsel, North American Securities Administrators Association
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Joaquin M. Sena ~ Deputy General Counsel; Legal Exec-Regulatory Inquiries & LATAM Liquidating, Bank of America
Andrew Stemmer ~ Head of Litigation & Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Andrew L. Weinberg ~ Managing Director, Compliance Executive, Bank of America
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute

Mechanicsburg Groupcast Location

Pennsylvania Bar Institute, 5080 Ritter Rd., Mechanicsburg PA 17055, (800) 932-4637. Click here for directions.

Mechanicsburg Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Hampton Inn Harrisburg-West, 4950 Ritter Road, Mechanicsburg, Pennsylvania, USA 17055. Tel: 717-691-1300. Fax: 717-691-9692.

Homewood Suites by Hilton® Harrisburg-West Hershey Area, 5001 Ritter Road, Mechanicsburg, Pennsylvania, United States 17055. Tel: 1-717-697-4900. Fax: 1-717-697-9101.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus
PLI’s blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will address the many significant developments and trends in the regulation and oversight of broker-dealers.  As uncertainty remains around whether any major regulatory change will  be forthcoming,  the regulators are forging  ahead with their regulatory agendas and priorities.  The DOJ, SEC, CFTC, state regulators and FINRA  are focused on a number of hot issues  including , in particular,  cybersecurity, protection of retail investors and identification and management of market risks, and recent emerging issues such as Cryptocurrency and Initial Coin Offerings.   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.

What 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

Who Should Attend

In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

 

Program Level: Update

Intended Audience: In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

Prerequisites: An interest in broker/dealer and investment management issues.

Advanced Preparation: None 

 


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.

9:00 Opening Remarks

Carmen J. Lawrence, Colleen P. Mahoney



9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

  • Significant SEC, CFTC and DOJ enforcement initiatives
  • FINRA  examinations and enforcement
  • Market abuse, including cyber-crime, cryptocurrency, market manipulation,  insider trading; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud,; AML; spoofing; FCPA; financial reporting; gatekeepers;  and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Wayne M. Carlin, Jacquelyn Kasulis, Lara Shalov Mehraban, Susan Schroeder

 



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities

State regulators will review regulatory initiatives, developments and priorities, and offer insights for avoiding and responding to state regulatory matters.

  • Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
  • Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud
  • Cryptocurrency

Moderator: Nader Hossain Salehi
Speakers: Cece Baute Mavico, A. Valerie Mirko



12:30 Networking Break

12:45 Luncheon Keynote: Marc P. Berger, Regional Director, New York Regional Office, U.S. Securities and Exchange Commission

Please note, credit is not offered for this segment.



1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

  • Exam priorities
    • Retail investors including electronic investment advice and wrap fee programs;
    • Senior investors and retirement investments, sales practices;
    • Market wide risks, including AML and Regulation SCI
    • Operational risks including cybersecurity and customer protection
    • Financial risk management
    • FINRA
  • Current rule initiatives, including: Dodd-Frank rulemaking and study update.
Moderator: Stephen Luparello
Speakers: TBD




2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms’ regulatory exposure, as well as their expectations of outside counsel. Topics will include:

  • Managing the regulatory process
  • Challenges and strategies for keeping up with complex businesses
  • Handling whistleblower complaints
  • Advising supervisors and employees
  • Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: David M. Levine, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer

 



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review challenges they face managing compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

  • Approaches for assessing program effectiveness
  • Strategies for maintaining a robust program
  • International and cross-border regulatory and compliance issues
  • Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Henry Klehm III, Daniel E. Kosowsky, Andrew L. Weinberg



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Moderator(s)
Stephen Luparello ~ General Counsel, Citadel Securities
Ghillaine A. Reid ~ McGuireWoods LLP
Nader Hossain Salehi ~ Sidley Austin LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Jacquelyn Kasulis ~ Chief, Business and Securities Fraud Section, U.S. Attorney's Office, Eastern District of New York, U.S. Department of Justice
Henry Klehm III ~ Jones Day
Daniel E. Kosowsky ~ Managing Director, Morgan Stanley
David M. Levine ~ Chief Legal Officer, Oz Management LLC
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial LLC
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
A. Valerie Mirko ~ General Counsel, North American Securities Administrators Association
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Joaquin M. Sena ~ Deputy General Counsel; Legal Exec-Regulatory Inquiries & LATAM Liquidating, Bank of America
Andrew Stemmer ~ Head of Litigation & Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Andrew L. Weinberg ~ Managing Director, Compliance Executive, Bank of America
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute

Philadelphia Groupcast Location

Pennsylvania Bar Institute, The CLE Conference Center, Wanamaker Building, 10th floor, Suite 1010, Center City Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). (800) 932-4637. Click here for directions.

Philadelphia Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Marriott Residence Inn

Ritz Carlton

Loews Philadelphia

Philadelphia Marriott Downtown

Hilton Garden Inn

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus
PLI’s blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will address the many significant developments and trends in the regulation and oversight of broker-dealers.  As uncertainty remains around whether any major regulatory change will  be forthcoming,  the regulators are forging  ahead with their regulatory agendas and priorities.  The DOJ, SEC, CFTC, state regulators and FINRA  are focused on a number of hot issues  including , in particular,  cybersecurity, protection of retail investors and identification and management of market risks, and recent emerging issues such as Cryptocurrency and Initial Coin Offerings.   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.

What 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

Who Should Attend

In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

 

Program Level: Update

Intended Audience: In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

Prerequisites: An interest in broker/dealer and investment management issues.

Advanced Preparation: None 

 


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.

9:00 Opening Remarks

Carmen J. Lawrence, Colleen P. Mahoney



9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

  • Significant SEC, CFTC and DOJ enforcement initiatives
  • FINRA  examinations and enforcement
  • Market abuse, including cyber-crime, cryptocurrency, market manipulation,  insider trading; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud,; AML; spoofing; FCPA; financial reporting; gatekeepers;  and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Wayne M. Carlin, Jacquelyn Kasulis, Lara Shalov Mehraban, Susan Schroeder

 



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities

State regulators will review regulatory initiatives, developments and priorities, and offer insights for avoiding and responding to state regulatory matters.

  • Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
  • Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud
  • Cryptocurrency

Moderator: Nader Hossain Salehi
Speakers: Cece Baute Mavico, A. Valerie Mirko



12:30 Networking Break

12:45 Luncheon Keynote: Marc P. Berger, Regional Director, New York Regional Office, U.S. Securities and Exchange Commission

Please note, credit is not offered for this segment.



1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

  • Exam priorities
    • Retail investors including electronic investment advice and wrap fee programs;
    • Senior investors and retirement investments, sales practices;
    • Market wide risks, including AML and Regulation SCI
    • Operational risks including cybersecurity and customer protection
    • Financial risk management
    • FINRA
  • Current rule initiatives, including: Dodd-Frank rulemaking and study update.
Moderator: Stephen Luparello
Speakers: TBD




2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms’ regulatory exposure, as well as their expectations of outside counsel. Topics will include:

  • Managing the regulatory process
  • Challenges and strategies for keeping up with complex businesses
  • Handling whistleblower complaints
  • Advising supervisors and employees
  • Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: David M. Levine, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer

 



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review challenges they face managing compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

  • Approaches for assessing program effectiveness
  • Strategies for maintaining a robust program
  • International and cross-border regulatory and compliance issues
  • Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Henry Klehm III, Daniel E. Kosowsky, Andrew L. Weinberg



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Moderator(s)
Stephen Luparello ~ General Counsel, Citadel Securities
Ghillaine A. Reid ~ McGuireWoods LLP
Nader Hossain Salehi ~ Sidley Austin LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Jacquelyn Kasulis ~ Chief, Business and Securities Fraud Section, U.S. Attorney's Office, Eastern District of New York, U.S. Department of Justice
Henry Klehm III ~ Jones Day
Daniel E. Kosowsky ~ Managing Director, Morgan Stanley
David M. Levine ~ Chief Legal Officer, Oz Management LLC
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial LLC
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
A. Valerie Mirko ~ General Counsel, North American Securities Administrators Association
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Joaquin M. Sena ~ Deputy General Counsel; Legal Exec-Regulatory Inquiries & LATAM Liquidating, Bank of America
Andrew Stemmer ~ Head of Litigation & Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Andrew L. Weinberg ~ Managing Director, Compliance Executive, Bank of America
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute

Pittsburgh Groupcast Location

Pennsylvania Bar Institute, Professional Development Conference Center, 339 Sixth Avenue, Suite 760, Pittsburgh, Pennsylvania 15222-2517. (412) 802-2300. Click Here for Directions

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus
PLI’s blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will address the many significant developments and trends in the regulation and oversight of broker-dealers.  As uncertainty remains around whether any major regulatory change will  be forthcoming,  the regulators are forging  ahead with their regulatory agendas and priorities.  The DOJ, SEC, CFTC, state regulators and FINRA  are focused on a number of hot issues  including , in particular,  cybersecurity, protection of retail investors and identification and management of market risks, and recent emerging issues such as Cryptocurrency and Initial Coin Offerings.   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.

What 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

Who Should Attend

In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

 

Program Level: Update

Intended Audience: In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

Prerequisites: An interest in broker/dealer and investment management issues.

Advanced Preparation: None 

 


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.

9:00 Opening Remarks

Carmen J. Lawrence, Colleen P. Mahoney



9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

  • Significant SEC, CFTC and DOJ enforcement initiatives
  • FINRA  examinations and enforcement
  • Market abuse, including cyber-crime, cryptocurrency, market manipulation,  insider trading; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud,; AML; spoofing; FCPA; financial reporting; gatekeepers;  and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Wayne M. Carlin, Jacquelyn Kasulis, Lara Shalov Mehraban, Susan Schroeder

 



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities

State regulators will review regulatory initiatives, developments and priorities, and offer insights for avoiding and responding to state regulatory matters.

  • Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
  • Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud
  • Cryptocurrency

Moderator: Nader Hossain Salehi
Speakers: Cece Baute Mavico, A. Valerie Mirko



12:30 Networking Break

12:45 Luncheon Keynote: Marc P. Berger, Regional Director, New York Regional Office, U.S. Securities and Exchange Commission

Please note, credit is not offered for this segment.



1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

  • Exam priorities
    • Retail investors including electronic investment advice and wrap fee programs;
    • Senior investors and retirement investments, sales practices;
    • Market wide risks, including AML and Regulation SCI
    • Operational risks including cybersecurity and customer protection
    • Financial risk management
    • FINRA
  • Current rule initiatives, including: Dodd-Frank rulemaking and study update.
Moderator: Stephen Luparello
Speakers: TBD




2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms’ regulatory exposure, as well as their expectations of outside counsel. Topics will include:

  • Managing the regulatory process
  • Challenges and strategies for keeping up with complex businesses
  • Handling whistleblower complaints
  • Advising supervisors and employees
  • Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: David M. Levine, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer

 



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review challenges they face managing compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

  • Approaches for assessing program effectiveness
  • Strategies for maintaining a robust program
  • International and cross-border regulatory and compliance issues
  • Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Henry Klehm III, Daniel E. Kosowsky, Andrew L. Weinberg



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Moderator(s)
Stephen Luparello ~ General Counsel, Citadel Securities
Ghillaine A. Reid ~ McGuireWoods LLP
Nader Hossain Salehi ~ Sidley Austin LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Jacquelyn Kasulis ~ Chief, Business and Securities Fraud Section, U.S. Attorney's Office, Eastern District of New York, U.S. Department of Justice
Henry Klehm III ~ Jones Day
Daniel E. Kosowsky ~ Managing Director, Morgan Stanley
David M. Levine ~ Chief Legal Officer, Oz Management LLC
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial LLC
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
A. Valerie Mirko ~ General Counsel, North American Securities Administrators Association
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Joaquin M. Sena ~ Deputy General Counsel; Legal Exec-Regulatory Inquiries & LATAM Liquidating, Bank of America
Andrew Stemmer ~ Head of Litigation & Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Andrew L. Weinberg ~ Managing Director, Compliance Executive, Bank of America
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute
New Jersey Groupcast Location

New Jersey Institute for Continuing Legal Education, One Constitution Square, New Brunswick, NJ 08901-1520. 732-249-5100.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

Stay Ever Current: Subscribe today to BD/IA: Regulation in Focus
PLI’s blog edited by Clifford E. Kirsch.

Why You Should Attend

This program will address the many significant developments and trends in the regulation and oversight of broker-dealers.  As uncertainty remains around whether any major regulatory change will  be forthcoming,  the regulators are forging  ahead with their regulatory agendas and priorities.  The DOJ, SEC, CFTC, state regulators and FINRA  are focused on a number of hot issues  including , in particular,  cybersecurity, protection of retail investors and identification and management of market risks, and recent emerging issues such as Cryptocurrency and Initial Coin Offerings.   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.

What 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

Who Should Attend

In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

 

Program Level: Update

Intended Audience: In-house counsel, outside attorneys, compliance professionals and other allied professionals who advise broker/dealers and Investment Managers.

Prerequisites: An interest in broker/dealer and investment management issues.

Advanced Preparation: None 

 


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.

9:00 Opening Remarks

Carmen J. Lawrence, Colleen P. Mahoney



9:15 SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers

Senior regulators will discuss their enforcement initiatives, developments and priorities.

  • Significant SEC, CFTC and DOJ enforcement initiatives
  • FINRA  examinations and enforcement
  • Market abuse, including cyber-crime, cryptocurrency, market manipulation,  insider trading; asset management, including valuation, trading allocation, fee and expense allocation, conflicts of interest; public finance, including offering and disclosure fraud,; AML; spoofing; FCPA; financial reporting; gatekeepers;  and whistleblowers.

Moderator: Carmen J. Lawrence
Speakers: Wayne M. Carlin, Jacquelyn Kasulis, Lara Shalov Mehraban, Susan Schroeder

 



10:45 Networking Break

11:00 Broker/Dealer: State Enforcement Initiatives, Developments and Priorities

State regulators will review regulatory initiatives, developments and priorities, and offer insights for avoiding and responding to state regulatory matters.

  • Sale of non-traditional products to retail investors (gold & precious metals, oil & gas drilling programs, promissory notes) and unregistered activity
  • Senior fraud, Ponzi schemes, gate-keeper fraud and internet fraud
  • Cryptocurrency

Moderator: Nader Hossain Salehi
Speakers: Cece Baute Mavico, A. Valerie Mirko



12:30 Networking Break

12:45 Luncheon Keynote: Marc P. Berger, Regional Director, New York Regional Office, U.S. Securities and Exchange Commission

Please note, credit is not offered for this segment.



1:45 Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update

Panel will discuss recent regulatory developments that have been receiving examination and rulemaking attention. Topics will include:

  • Exam priorities
    • Retail investors including electronic investment advice and wrap fee programs;
    • Senior investors and retirement investments, sales practices;
    • Market wide risks, including AML and Regulation SCI
    • Operational risks including cybersecurity and customer protection
    • Financial risk management
    • FINRA
  • Current rule initiatives, including: Dodd-Frank rulemaking and study update.
Moderator: Stephen Luparello
Speakers: TBD




2:45 Networking Break

3:00 In-House Broker/Dealer Lawyer Roundtable

Senior in-house regulatory lawyers will share challenges they face in managing regulatory and enforcement issues their firms face on a regular basis, and will examine strategies for minimizing their firms’ regulatory exposure, as well as their expectations of outside counsel. Topics will include:

  • Managing the regulatory process
  • Challenges and strategies for keeping up with complex businesses
  • Handling whistleblower complaints
  • Advising supervisors and employees
  • Decision making as to self-reporting, cooperation, and remediation

Moderator: Colleen P. Mahoney
Speakers: David M. Levine, Ilene B. Marquardt, Joaquin M. Sena, Andrew Stemmer

 



4:00 Broker/Dealer Compliance Officer Roundtable

Compliance Officers will review challenges they face managing compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

  • Approaches for assessing program effectiveness
  • Strategies for maintaining a robust program
  • International and cross-border regulatory and compliance issues
  • Compliance in the regulatory cross-hairs

Moderator: Ghillaine A. Reid
Speakers: William R. Baker III, Henry Klehm III, Daniel E. Kosowsky, Andrew L. Weinberg



5:00 Adjourn

Co-Chair(s)
Carmen J. Lawrence ~ King & Spalding
Colleen P. Mahoney ~ Skadden, Arps, Slate, Meagher & Flom LLP
Moderator(s)
Stephen Luparello ~ General Counsel, Citadel Securities
Ghillaine A. Reid ~ McGuireWoods LLP
Nader Hossain Salehi ~ Sidley Austin LLP
Speaker(s)
William R. Baker III ~ Latham & Watkins LLP
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Wayne M. Carlin ~ Wachtell, Lipton, Rosen & Katz
Jacquelyn Kasulis ~ Chief, Business and Securities Fraud Section, U.S. Attorney's Office, Eastern District of New York, U.S. Department of Justice
Henry Klehm III ~ Jones Day
Daniel E. Kosowsky ~ Managing Director, Morgan Stanley
David M. Levine ~ Chief Legal Officer, Oz Management LLC
Ilene B. Marquardt ~ Senior Deputy General Counsel and Managing Director, UBS Group AG
Cece Baute Mavico ~ Senior Vice President and Associate General Counsel, LPL Financial LLC
Lara Shalov Mehraban ~ Associate Regional Director, U.S. Securities and Exchange Commission
A. Valerie Mirko ~ General Counsel, North American Securities Administrators Association
Susan Schroeder ~ Executive Vice President, Enforcement, FINRA
Joaquin M. Sena ~ Deputy General Counsel; Legal Exec-Regulatory Inquiries & LATAM Liquidating, Bank of America
Andrew Stemmer ~ Head of Litigation & Regulatory Enforcement - Americas; Director & Associate General Counsel, Deutsche Bank
Andrew L. Weinberg ~ Managing Director, Compliance Executive, Bank of America
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute
Atlanta Groupcast Location

Atlanta Bar Association, 400 International Tower, 229 Peachtree Street, NE, Atlanta, GA 30303-1601. (404) 521-0781.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. 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 live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) 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 groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

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Neal E Sullivan, Sidley Austin LLP
 
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