On-Demand   On-Demand Web Programs

Investment Management Institute 2017

Released on: Mar. 30, 2017
Running Time: 09:14:28

In this program, you will hear current and former regulators, industry experts and practitioners discuss significant business and legal developments in the investment management area over the past year and analyze important regulatory initiatives such as:

  • The SEC’s regulatory agenda under a new administration
  • New liquidity management and derivatives regulation
  • A review of new SEC staff guidance
  • Current exchange-traded funds issues
  • The new fund and advisers reporting regimes
  • Coping with the Department of Labor’s fiduciary rule and best interest contract exemption
  • The changing role of independent directors and trustees and other governance matters
  • Systemic regulation and the asset management business
  • The future of investment adviser oversight
  • Mutual fund distribution related issues
  • Developments in insurance products
  • Investment management compliance hot buttons
  • Current issues of the day for alternative asset managers
  • Section 36(b) cases and other recent investment management litigation
  • Enforcement trends in the asset management area
  • Ethics for the investment management practitioner

This program is designed for attorneys in law firms, in-house counsel, private fund lawyers, compliance officers and others involved in current issues affected by the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Commodity Exchange Act of 1974, ERISA and other relevant laws.

Lecture Topics [Total time 09:14:28]

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


  • Introduction and Welcome* [00:10:43]
    Barry P. Barbash, Paul F. Roye
  • Featured Speaker* [00:29:48]
    David W. Grim
  • Division Director Perspectives/ SEC Strategic Agenda [00:59:11]
    Barry P. Barbash, David W. Grim, Paul F. Roye
  • The Department of Labor’s New Fiduciary Rule [00:59:19]
    Jason Bortz, Peter E. Haller, Erin K. Cho
  • Developments in Insurance Products [00:59:38]
    Gary O. Cohen, Stephen E. Roth, William J. Kotapish
  • Compliance and Inspections [01:02:03]
    Paul F. Roye, Philip L. Kirstein, Lori A. Richards, Katherine P. Feld
  • Issues of the Day for Alternative Asset Managers [01:00:18]
    Barry P. Barbash, Stephanie R. Breslow, Igor Rozenblit
  • Enforcement and Litigation Trends [01:29:42]
    Barry P. Barbash, Anthony S. Kelly, Lori A. Martin, Sean M. Murphy
  • Exchange-Traded Funds [01:03:44]
    Allison Fumai, Brian P. Murphy, Barry Pershkow, Barry P. Barbash
  • Ethics [01:00:02]
    Michael S. Sackheim

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


  • COMPLETE COURSE HANDBOOK
  • SEC Strategic Agenda Outline
    Paul F. Roye
  • “The SEC after the Financial Crisis: Protecting Investors, Preserving Markets,” Speech by U.S. Securities and Exchange Commission Chair Mary Jo White at the Economic Club of New York (January 17, 2017)
    Paul F. Roye
  • Remarks to the ALI CLE 2016 Conference on Life Insurance Products by David W. Grim, Director, Division of Investment Management, U.S. Securities and Exchange Commission, Washington, D.C. (November 4, 2016)
    Paul F. Roye
  • The Fund Director in 2016: Keynote Address at the Mutual Fund Directors Forum 2016 Policy Conference by U.S. Securities and Exchange Commission Chair Mary Jo White, Washington, D.C. (March 29, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC Adopts Rules to Modernize Information Reported by Funds, Require Liquidity Risk Management Programs, and Permit Swing Pricing—Rules Enhance Investor Protection, Provide More Effective Data Collection by Commission (October 13, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC Adopts Rules to Enhance Information Reported by Investment Advisers (August 25, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans—Reflects Commission’s Latest Action to Enhance Regulatory Safeguards in the Asset Management Industry (June 28, 2016)
    Paul F. Roye
  • Joint Press Release by: Federal Deposit Insurance Corporation, Federal Housing Finance Agency, Federal Reserve Board of Governors, National Credit Union Administration, Office of the Comptroller of the Currency and the U.S. Securities and Exchange Commission: Agencies Invite Comment on Proposed Rule to Prohibit Incentive-Based Pay that Encourages Inappropriate Risk-Taking in Financial Institutions (May 16, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC Proposes New Derivatives Rules for Registered Funds and Business Development Companies (December 11, 2015)
    Paul F. Roye
  • Memorandum from the Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission, Use of Derivatives by Registered Investment Companies and Business Development Companies, Re: Risk Adjustment and Haircut Schedules (November 1, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-06: Mutual Fund Fee Structures (December 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-05: Staff Guidance Concerning Investment Adviser Reliance on Predecessor Registrations (November 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-04: Business Continuity Planning for Registered Investment Companies (June 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-03: Fast Act Changes Affecting Investment Advisers to Small Business Investment Companies (March 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-02: Fund Disclosure Reflecting Risks Related to Current Market Conditions (March 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2016-01: Mutual Fund Distribution and Sub-Accounting Fees (January 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Letter, Re: Investment Company Act of 1940—Section 22(d) Capital Group: Response of the Office of Chief Counsel, Division of Investment Management (January 11, 2017)
    Paul F. Roye
  • Capital Group Letter to Mr. David W. Grim, Director, Division of Investment Management and Mr. Douglas J. Scheidt, Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission, Re: Request for interpretive guidance regarding Section 22(d) of the Investment Company Act of 1940
    Paul F. Roye
  • U.S. Securities and Exchange Commission, Division of Investment Management Response of the Chief Counsel’s Office, Re: Russell Investment Management, LLC No-Action Letter, Re: Investment Company Act of 1940—Section 17(e) (December 16, 2016)
    Paul F. Roye
  • Dechert Letter to Mr. Douglas J. Scheidt, Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission, Re: Foreign Currency Agency Transactions under Section 17(e) of the Investment Company Act of 1940 (December 9, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission, Division of Investment Management, Response of the Office of Chief Counsel, Re: Fidelity Management & Research Company et al., Request for No-Action Relief Re: Regulation S-X—Rule 2-01 (June 20, 2016)
    Paul F. Roye
  • Fidelity Investments Letter to Mr. Douglas J. Scheidt, Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission, Re: Request for No-Action Relief Re: Regulation S-X Rule 2-01 (June 20, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission, Division of Investment Management Response to Robert C. Grohowski, General Counsel, Investment Adviser Association, Re: Investment Advisers Act of 1940—Section 206(4) and Rule 206(4)-2 (April 25, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission, Division of Investment Management Response of the Office of Chief Counsel to RS Global Natural Resources Fund Request for No-Action Relief, Re: Investment Company Act of 1940—Section 15(a) American Century Investment Management (December 20, 2016)
    Paul F. Roye
  • Stradley Ronon Letter to Mr. Douglas J. Scheidt, Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission, Re: American Century Investment Management (December 19, 2016)
    Paul F. Roye
  • The DOL Fiduciary Rule (PowerPoint slides)
    Peter E. Haller, Jason Bortz, Erin K. Cho
  • U.S. Department of Labor, Employee Benefits Security Administration: Conflict of Interest FAQs (Part I—Exemptions) (October 27, 2016)
    Peter E. Haller
  • U.S. Department of Labor, Employee Benefits Security Administration: Conflict of Interest FAQs (Part II— Rule) (January 2017)
    Peter E. Haller
  • U.S. Department of Labor, Employee Benefits Security Administration: Consumer Protections for Retirement Investors—FAQs on Your Rights and Financial Advisers (January 2017)
    Peter E. Haller
  • DOL Publishes Final Rule Defining “Fiduciary” and Related Exemptions (May 6, 2016)
    Sharon Mori, Peter E. Haller, Arthur C. Damoulakis, Justin L. Browder, Barry P. Barbash
  • U.S. Securities and Exchange Commission Response to Mark D. Wigder of Jenkens & Gilchrist, Re: Request for No-Action Relief on Behalf of Edward Mahaffy (March 6, 2003)
    Peter E. Haller
  • U.S. Securities and Exchange Commission, Division of Investment Management, Response of the Office of Chief Counsel to E*TRADE Securities, LLC, Re: Investment Company Act of 1940—Rule 12b-1 and Section 18(f), 22(d) and 48(a) (November 30, 2005)
    Peter E. Haller
  • DOL Issues Proposed Best Interest Contract Exemption for Insurance Intermediaries (January 23, 2017)
    Peter E. Haller
  • The Final Fiduciary Rule: Impact on Investment Managers (January 24, 2017)
    David C. Olstein, Alexander P. Ryan, Erin K. Cho, Richard K. Matta
  • Fiduciary Rule—Executive Summary (April 7, 2016)
    Erin K. Cho
  • DOL Releases Guidance on Best Interest Contract and other Exemptions (October 31, 2016)
    Erin K. Cho
  • DOL Releases Second Set of FAQ Guidance on Fiduciary Rule (January 17, 2017)
    Erin K. Cho
  • Rule 12b-1 Plans of Mutual Funds Underlying Variable Insurance Product Separate Accounts (January 11, 2017)
    Gary O. Cohen
  • Variable Insurance Products—Recent Product Trends and Regulatory Developments (January 20, 2017)
    Stephen E. Roth
  • Compliance and Inspections Outline
    Paul F. Roye
  • U.S. Securities and Exchange Commission: Office of Compliance Inspections and Examinations—National Exam Program: Examination Priorities for 2017
    Paul F. Roye
  • U.S. Securities and Exchange Commission: Office of Compliance Inspections and Examinations—National Exam Program: Risk Alert—Examining Whistleblower Rule Compliance (October 24, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission: Office of Compliance Inspections and Examinations—National Exam Program: Risk Alert—Examinations of Supervision Practices At Registered Investment Advisers (September 12, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission: Office of Compliance Inspections and Examinations—National Exam Program: Risk Alert—OCIE’s 2016 Share Class Initiative (July 13, 2016)
    Paul F. Roye
  • Keynote Address at the National Society of Compliance Professionals 2016 National Conference: “Inside the National Exam Program in 2016” by Marc Wyatt, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, Washington, D.C. (October 17, 2016)
    Paul F. Roye
  • Testimony Before The U.S. House of Representatives Committee on Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises on Continued Oversight of the SEC’s Offices and Divisions by Mark J. Flannery, Director and Chief Economist, Division of Economic and Risk Analysis; Marc Wyatt, Director, Office of Compliance Inspections and Examinations; Thomas J. Butler, Director, Office of Credit Ratings; Sean McKessy, Chief, Office of the Whistleblower, Washington, D.C. (April 21, 2016)
    Paul F. Roye
  • Remarks at the National Society of Compliance Professionals 2016 National Conference by Andrew J. Donohue, Chief of Staff, U.S. Securities and Exchange Commission, Washington, D.C. (October 19, 2016)
    Paul F. Roye
  • Keynote Luncheon Speech: New Directions in Corporate Compliance by Andrew J. Donohue, Chief of Staff, U.S. Securities and Exchange Commission at Rutgers Law School Center for Corporate Law and Governance, Camden, New Jersey (May 20, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC Announces Creation of Office of Risk and Strategy for its National Exam Program—Peter B. Driscoll Named Chief Risk and Strategy Officer (March 8, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: BlackRock Charged With Removing Whistleblower Incentives in Separation Agreements (January 17, 2017)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: 10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions (January 17, 2017)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: Morgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule (January 13, 2017)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC Charges Platinum Funds and Founder With Defrauding Investors (December 19, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: PIMCO Settles Charges of Misleading Investors About ETF Performance (December 1, 2016)
    Paul F. Roye
  • Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, In the Matter of Pacific Investment Management Company LLC (December 1, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: JPMorgan Chase Paying $264 Million to Settle FCPA Charges (November 17, 2016)
    Paul F. Roye
  • Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, In the Matter of Calvert Investment Management, Inc. (October 18, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: Hedge Fund Firm and Supervisor Charged With Failing to Prevent Insider Trading (October 13, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: Investment Adviser Charged With Cherry-Picking and Misleading Clients (October 4, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: Och-Ziff Hedge Fund Settles FCPA Charges—Och-Ziff Executives Also Settle Charges (September 29, 2016)
    Paul F. Roye
  • Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities and Exchange Act of 1934, and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing, In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och, and Joel M. Frank (September 29, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC Charges Hedge Fund Manager Leon Cooperman With Insider Trading (September 21, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: Two Firms Charged With Compliance Failures in Wrap Fee Programs (September 8, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: Investment Advisers Paying Penalties for Advertising False Performance Claims (August 25, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: Apollo Charged With Disclosure and Supervisory Failures (August 23, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: Hedge Fund Manager Charged in Scheme Involving Terminally Ill (August 15, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC: State Street Misled Custody Clients About Prices for Foreign Currency Exchange Trades (July 26, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC Charges Investment Adviser With Failing to Clearly Disclose Additional Costs to Investors (July 14, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: Private Fund Administrator Charged With Gatekeeper Failures (June 16, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: Hedge Fund Managers and Former Government Official Charged in $32 Million Insider Trading Scheme: Separate Asset Mismarking Scheme Yielded $6 Million in Extra Fees (June 15, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC: Private Equity Fund Adviser Acted As Unregistered Broker (June 1, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC: Nashville Firm Schemed to Collect Extra Fees From Hedge Funds (May 31, 2016)
    Paul F. Roye
  • Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, In the Matter of Federated Global Investment Management Corp. (May 27, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC: Financial Adviser Defrauded Pro Athletes and Lied to SEC Examiners (May 6, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: AIG Affiliates Charged With Mutual Fund Shares Conflicts (March 14, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC Announces Charges Against Unregistered Fund Manager Accused of Hiding Criminal Past (March 8, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: Hedge Fund Manager Agrees to Reimburse Investor Losses (January 28, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC: Alternative Fund Manager Overcharged Fees, Misled Investors (January 19, 2016)
    Paul F. Roye
  • U.S. Securities and Exchange Commission Press Release: SEC Charges State Street for Pay-to-Play Scheme (January 14, 2016)
    Paul F. Roye
  • BHP Billiton Settles with SEC for $25 Million for Providing Foreign Officials with Luxury Travel to Olympics (May 21, 2015)
    Stephanie R. Breslow
  • New FCPA Guidance Highlights Importance of Effective Compliance Procedures (November 19, 2012)
    Stephanie R. Breslow
  • Stephanie R. Breslow, Ch. 12: Investment Advisers Act of 1940 (2nd Edition) (November 2016)
    Stephanie R. Breslow
  • Federal and State Regulators Target Compliance Officers—Part I, The Banking Law Journal (July/August 2015)
    Jennifer M. Opheim, Seetha Ramachandran, Melissa G.R. Goldstein, Betty J. Santangelo, Stephanie R. Breslow, Gary Stein
  • Federal and State Regulators Target Compliance Officers—Part II, The Banking Law Journal (September 2015)
    Jennifer M. Opheim, Seetha Ramachandran, Melissa G.R. Goldstein, Betty J. Santangelo, Stephanie R. Breslow, Gary Stein
  • Recent Trends in SEC Investment Management Enforcement Actions: A Summary Chart (December 31, 2016)
    Barry P. Barbash
  • Enforcement Trends and Themes
    Lori A. Martin
  • The Ongoing Evolution of Exchange-Traded Funds: An Overview of the Development of ETFs, Their Regulation, and the Underlying Market (January 11, 2017)
    Allison M. Fumai, Stuart M. Strauss, Michelle D. Wong
  • Ethics Outline (January 1, 2017)
    Michael S. Sackheim
  • Derivatives Lawyers: Red Flags—See Something, Do Something, Bloomberg BNA: Securities Regulation & Law Report, 47 SRLR 2182 (November 16, 2015)
    Michael S. Sackheim

Presentation Material


  • The DOL Fiduciary Rule- Where are we now?
    Jason Bortz, Erin K. Cho, Peter E. Haller
  • Developments in Insurance Products
    Gary O. Cohen, William J. Kotapish, Stephen E. Roth
Co-Chair(s)
Barry P. Barbash ~ Willkie Farr & Gallagher LLP
Paul F. Roye ~ Director, Capital Research and Management Company
Moderator(s)
Peter E. Haller ~ Willkie Farr & Gallagher LLP
Speaker(s)
Jason Bortz ~ Senior Counsel, Senior Vice President, Capital Research and Management Company
Stephanie R. Breslow ~ Schulte Roth & Zabel LLP
Erin K. Cho ~ Groom Law Group, Chartered
Gary O. Cohen ~ Carlton Fields Jorden Burt, P. A.
Katherine P. Feld ~ Senior Special Counsel to the Deputy Director, Office of Compliance Inspections and Examinations, US Securities and Exchange Commission
Allison Fumai ~ Dechert LLP
David W. Grim ~ Former Director, Division of Investment Management, U.S. Securities and Exchange Commission
Anthony S. Kelly ~ Co-Chief, Asset Management Unit, Division of Enforcement , U.S. Securities and Exchange Commission
Philip L. Kirstein ~ Former Senior Officer & Independent Compliance Officer, AllianceBernstein Mutual Funds
William J. Kotapish ~ Assistant Director, Disclosure Review Office (Insured Investments), Division of Investment Management, U.S. Securities and Exchange Commission
Lori A. Martin ~ WilmerHale LLP
Brian P. Murphy ~ Senior Counsel/Manager, Vanguard Group, Inc.
Sean M. Murphy ~ Milbank, Tweed, Hadley & McCloy LLP
Barry Pershkow ~ Chapman and Cutler LLP
Lori A. Richards ~ Chief Compliance Officer, Asset Management Unit, J.P. Morgan & Co
Stephen E. Roth ~ Eversheds Sutherland (US) LLP
Igor Rozenblit ~ Co-head, Private Funds Unit, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Michael S. Sackheim ~ Sidley Austin LLP
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

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


U.S. MCLE States

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

New York

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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


CPD Jurisdictions

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

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

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

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

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

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


Other Credit Types

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

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

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

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

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

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

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

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

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

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

 

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