Seminar  Program

The SEC Speaks in 2019


Select a Location:

Why You Should

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

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

Workshop A: Compliance Inspections and Examinations
Workshop B: Trading and Markets
Workshop C: Enforcement
Workshop D: International Affairs

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

Workshop E: Corporation Finance
Workshop F: Accounting
Workshop G: Investment Management
Workshop H (Joint): Municipal Securities and Credit Ratings

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

 

Who Should Attend

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

Special Features

• All attendees and speakers are invited to a cocktail reception on Friday evening, immediately following the afternoon session.
• The Association of Securities and Exchange Commission Alumni, Inc. (ASECA) will give its annual dinner on Thursday, February 21, immediately following the conference and cocktail reception. For further information, go to www.SECalumni.org

Program Level: Overview

Intended Audience: In-house counsel, outside attorneys, and other allied professionals who interact with the Securities and Exchange Commission

Prerequisites: None

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.

Day One: 8:00 a.m. - 5:45 p.m.

8:00 Networking Breakfast

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

8:45 Chairman’s Remarks
Hon. Jay Clayton

Please note, credit is not offered for this segment.

9:05 SEC Speaks: Office of Compliance Inspections and Examinations
• 2019 Examination Priorities 
• TBD

Speakers: 
Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations
Jessica Kane, Director, Office of Credit Ratings
Keith E. Cassidy, Associate Director, Technology Controls Program (TCP), Office of Compliance Inspections and Examinations
Kevin W. Goodman, Associate Director, FINRA and Securities Oversight (FSIO), Office of Compliance Inspections and Examinations
Daniel R. Gregus, Associate Director, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations
John S. Polise, Associate Director, National Broker-Dealer Exchange Program (BDX), Office of Compliance Inspections and Examinations 
James Reese, Chief Risk and Strategy Officer, Office of Risk and Strategy (ORS), Office of Compliance Inspections and Examinations
Kristin A. Snyder, Co-Deputy Director and  Co-National Associate Director, Investment Adviser/Investment Company Examination Program (IA/IC), Office of Compliance Inspections and Examinations
 
Commentators: TBD

10:10 Commissioner’s Remarks
Hon. Robert J. Jackson, Jr.

Please note, credit is not offered for this segment.

10:30 Networking Break

10:45 SEC Speaks: Division of Trading and Markets
• Market structure 
• Dodd-Frank implementation 
• Clearance and settlement 
• Risk analytics 
• Broker-Dealer issues

Speakers: Division of Trading and Markets 
Brett W. Redfearn, Director
Christian R. Sabella, Deputy Director 
Michael A. Macchiaroli, Associate Director
Thomas K. McGowan, Associate Director
John C. Roeser, Associate Director
David Saltiel, Associate Director
David S. Shillman, Associate Director

Commentators: TBD

11:50 Commissioner’s Remarks
Hon. Hester M. Peirce

Please note, credit is not offered for this segment.

12:10 Lunch

1:25 Commissioner’s Remarks
Hon. Elad L. Roisman

Please note, credit is not offered for this segment.

1:45 SEC Speaks: Division of Enforcement
• Overview and Observations 
• Legal and Policy Developments 
• Litigation Developments 
• FCPA and Cross-Border Matters 
• Public Finance Matters 
• Asset Management Matters 
• Whistleblower Matters

Speakers: Division of Enforcement
Stephanie Avakian, Co-Director
Steven R. Peikin, Co-Director

Commentators: TBD

2:50 Commissioner’s Remarks

3:10 Networking Break

3:25 SEC Speaks: Division of Economic and Risk Analysis
• DERA Overview and Update
• Index Funds and Price Discovery
• Materiality and Event Studies

Speakers: Division of Economic and Risk Analysis 
Chyhe Becker, Acting Chief Economist and Acting Director
Eugene Canjels, Assistant Director, Office of Litigation Economics
Austin Gerig, Assistant Director, Office of Research and Data Services
Hans G. Heidle, Branch Chief, Office of Markets
James McLoughlin, Financial Economist, Office of Asset Management

Commentators: TBD

4:30 Networking Break

4:45 Workshop A: Office of Compliance Inspections and Examinations
• TBD

Speakers: Office of Compliance Inspections and Examinations 
Allison M. Fakhoury, Senior Regulatory Counsel, Office of Clearance and Settlement
Katherine P. Feld, Senior Special Counsel to the Deputy Director
Grant A. Gartman, Assistant Director, FINRA and Securities Industry Oversight (FSIO)
Eric Garvey, Assistant Director, Office of Broker-Dealer and Exchange Program (BDX)
Rina Hussain, Assistant Director, Office of Broker-Dealer and Exchange Program (BDX)
Charles Koretke, Assistant Director, Office of Risk Analysis and Surveillance

4:45 Workshop B: Division of Trading and Markets
• Fixed income 
• Reg ATS 
• Trading practices and new products 
• Significant enforcement matters 
• Recent no-action letters, staff interpretations, and notable exemptive orders 
• Significant SRO rules 
• Clearing agency regulation and supervision 
• Title VII Status

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

4:45 Workshop C: Division of Enforcement
TBD
• 


Speakers: Division of Enforcement 
TBD

4:45 Workshop D: Office of International Affairs
• International Regulatory Policy
• Cross-Border Enforcement Cooperation
• Cross-Border Supervisory Cooperation

Speakers: Office of International Affairs 
Kurt G. Gresenz, Senior Assistant Director, Enforcement Cooperation 
Magdalena Camillo, Senior Special Counsel, Regulatory Policy
Thomas Swiers, Branch Chief, Enforcement Cooperation
Natasha Kaden, Senior Special Counsel, Supervisory Cooperation

5:45 Adjourn

Day Two: 8:00 a.m. - 4:30 p.m.

8:00 Networking Breakfast

8:30 Remarks by the Investor Advocate Rick A. Fleming
Please note, credit is not offered for this segment.

8:45 SEC Speaks: Division of Corporation Finance

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

(CPE Field of Study: Accounting)

Speakers: Division of Corporation Finance
William H. Hinman, Director
TBD

Commentators: TBD



9:50 SEC Speaks: Accounting

• Current financial disclosure issues
• Accounting and auditing issues
• Emerging practice issues
• Enforcement issues and trends

(CPE Field of Study: Accounting)

Speakers:
Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant
Kyle L. Moffatt, Chief Accountant, Division of Corporation Finance 
Matthew S. Jacques, Chief Accountant, Division of Enforcement
Alison Staloch, Chief Accountant, Division of Investment Management

Commentators:
TBD



10:55 Networking Break

11:10 SEC Speaks: Division of Investment Management

• Division initiatives and rulemakings
• Guidance developments
• Disclosure and analytics developments

Speakers: Division of Investment Management
Dalia Osman Blass, Director 
Paul G. Cellupica, Deputy Director and Chief Counsel
Jon Hertzke, Assistant Director, Analytics Office
Brian M. Johnson, Assistant Director, Rulemaking
Michael Kosoff, Senior Special Counsel, Disclosure Review and Accounting Office
Daniele Marchesani, Assistant Chief Counsel

Commentators: 
Hon. Richard C. Breeden
Hon. Annette L. Nazareth
Hon. Laura S. Unger



12:15 Lunch

1:15 SEC Speaks: Judicial and Legislative Developments
• Liability for knowing dissemination of false or misleading statements in connection with a securities transaction: Lorenzo v. SEC
• ALJ constitutional challenges post-Lucia v. SEC 
• SEC remedies post-Kokesh v. SEC
• Insider trading developments

Speakers: Office of the General Counsel 
Robert B. Stebbins, General Counsel
Michael A. Conley, Solicitor
John W. Avery, Deputy Solicitor
Dominick V. Freda, Assistant General Counsel
Tracey A. Hardin, Assistant General Counsel
Hope H. Augustini, Senior Litigation Counsel
David D. Lisitza, Senior Litigation Counsel
Daniel Staroselsky, Senior Litigation Counsel
Lisa K. Helvin, Counsel to the General Counsel
Sarah R. Prins, Senior Counsel
Martin V. Totaro, Senior Counsel

Commentators: 
Hon. Roberta S. Karmel
Hon. Annette L. Nazareth

2:20 SEC Speaks: Ethical Issues for Securities Attorneys

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

(Ethics Credit)

Speakers: Office of the General Counsel
Richard M. Humes, Associate General Counsel
Thomas J. Karr, Assistant General Counsel
Donna McCaffrey, Special Trial Counsel

Commentators: 
Hon. Roberta S. Karmel



3:20 Networking Break

3:30 Workshop E: Division of Corporation Finance
• Disclosure and processing developments
• Accounting and financial reporting issues

Speakers: Division of Corporation Finance
TBD



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

Speakers: Office of the Chief Accountant 
Thomas Collens, Professional Accounting Fellow
Aaron Shaw, Professional Accounting Fellow
Ryan Wolfe, Senior Associate Chief Accountant
Giles Cohen, Deputy Chief Counsel

3:30 Workshop G: Division of Investment Management
• Enforcement updates
• Fund disclosure and processing developments
• No-action letters and exemptive relief updates
• Data analytics developments

Speakers: Division of Investment Management
Laura Hatch, Branch Chief, Analytics Office
David Marcinkus, Branch Chief, Chief Counsel’s Office
Sumeera Younis, Branch Chief, Disclosure Review and Accounting Office

3:30 Workshop H (Joint): Municipal Securities and Credit Ratings
• Municipal advisors
• Municipal market structure
• Municipal securities disclosure

Speakers: 
Speakers: Office of Municipal Securities
Rebecca Olsen, Director
Ahmed Abonamah, Senior Counsel to the Director
Adam Wendell, Attorney Adviser

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

4:30 Adjourn

Co-Chair(s)
Stephanie Avakian ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
William H. Hinman ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Speaker(s)
Ahmed Abonamah ~ Senior Counsel to the Director, Office of Municipal Securities, U.S. Securities and Exchange Commission
Hope H. Augustini ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
John W. Avery ~ Deputy Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Chyhe Becker ~ Acting Chief Economist and Acting Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Andrew R. Bernstein ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Dalia Osman Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Rita M. Bolger ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Hon. Richard C. Breeden ~ Chairman, Breeden Capital Management, LLC
Wesley R. Bricker ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Magdalena Camillo ~ Senior Special Counsel, Regulatory Policy, Office of International Affairs, U.S. Securities and Exchange Commission
Eugene Canjels ~ Assistant Director, Office of Litigation Economics, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Keith E. Cassidy ~ Associate Director, Technology Controls Program (TCP), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Paul G. Cellupica ~ Deputy Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission
Hon. Jay Clayton ~ Chairman, U.S. Securities and Exchange Commission
Giles Cohen ~ Deputy Chief Counsel, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Thomas Collens ~ Professional Accounting Fellow, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
David Dimitrious ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Peter B. Driscoll ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Allison Fakhoury ~ Senior Regulatory Counsel, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Katherine P. Feld ~ Senior Special Counsel to the Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Rick A. Fleming ~ Director, Office of the Investor Advocate, U.S. Securities and Exchange Commission
Dominick V. Freda ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Grant A. Gartman ~ Assistant Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Eric Garvey ~ Assistant Director, Office of Broker-Dealer and Exchange Program (BDX), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Austin Gerig ~ Assistant Director, Office of Research and Data Services, Division of Economic and Risk Analysis , U.S. Securities and Exchange Commission
Kevin W. Goodman ~ Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Daniel R. Gregus ~ Associate Director, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Kurt G. Gresenz ~ Senior Assistant Director, Enforcement Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Tracey A. Hardin ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Laura Hatch ~ Branch Chief, Analytics Office, Division of Investment Management, U.S.Securities and Exchange Commission
Hans G. Heidle ~ Branch Chief, Office of Markets, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Lisa K. Helvin ~ Counsel to the General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Jon Hertzke ~ Assistant Director, Analytics Office, Division of Investment Management, U.S. Securities and Exchange Commission
Richard M. Humes ~ Associate General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Rina Hussain ~ Assistant Director, Office of Broker-Dealer and Exchange Program (BDX), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Hon. Robert J. Jackson, Jr. ~ Commissioner, U.S. Securities and Exchange Commission
Matthew S. Jacques ~ Chief Accountant, Division of Enforcement, U.S. Securities and Exchange Commission
Brian M. Johnson ~ Assistant Director, Rulemaking, Division of Investment Managment, U.S. Securities and Exchange Commission
Natasha Kaden ~ Senior Special Counsel, Supervisory Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Jessica Kane ~ Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Hon. Roberta S. Karmel ~ Centennial Professor of Law and Co-Director, Dennis J. Block Center for the Study of International Business Law, Brooklyn Law School
Thomas J. Karr ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Charles Koretke ~ Assistant Director, Office of Risk Analysis and Surveillance, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Michael Kosoff ~ Senior Special Counsel, Disclosure Review and Accounting Office, Division of Investment Management, U.S. Securities and Exchange Commission
David D. Lisitza ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Raymond Lombardo ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Michael A. Macchiaroli ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Neel Maitra ~ Attorney Adviser, Division of Trading and Markets, U.S. Securities and Exchange Commission
Daniele Marchesani ~ Assistant Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission
David Marcinkus ~ Branch Chief, Chief Counsel's Office, Division of Investment Management, U.S. Securities and Exchange Commission1
Donna McCaffrey ~ Special Trial Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Thomas K. McGowan ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
W. Carson McLean ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
James McLoughlin ~ Financial Economist, Office of Asset Management, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Kyle L. Moffatt ~ Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
Jeffrey S. Mooney ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Hon. Annette L. Nazareth ~ Davis Polk & Wardwell LLP
Rebecca Olsen ~ Director, Office of Municipal Securities, U.S. Securities and Exchange Commission
Kevin O'Neill ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Hon. Hester M. Peirce ~ Commissioner, U.S. Securities and Exchange Commission
John S. Polise ~ Associate Director, National Broker-Dealer Exchange Program (BDX), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Sarah R. Prins ~ Senior Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Tyler Raimo ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Brett W. Redfearn ~ Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
James Reese ~ Chief Risk and Strategy Officer, Office of Risk and Strategy (ORS), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
John C. Roeser ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Hon. Elad L. Roisman ~ Commissioner, U.S. Securities and Exchange Commission
Randall W. Roy ~ Deputy Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Christian R. Sabella ~ Deputy Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
David Saltiel ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Aaron Shaw ~ Professional Accounting Fellow, Office of the Chief Accoutant, U.S. Securities and Exchange Commission
David S. Shillman ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Kristin A. Snyder ~ Co-Deputy Director and Co-National Associate Director, Investment Adviser/Investment Company Examination Program (IA/IC), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Alison Staloch ~ Chief Accountant, Division of Investment Management, U.S. Securities and Exchange Commission
Daniel Staroselsky ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Robert B. Stebbins ~ General Counsel, Office of the General Counsel, U.S. Securites and Exchange Commission
Thomas Swiers ~ Branch Chief, Enforcement Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Martin V. Totaro ~ Senior Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Hon. Laura S. Unger ~ Independent Director and Private Consultant,
Adam Wendell ~ Attorney Adviser, Office of Municipal Securities, U.S. Securities and Exchange Commission
Michele B. Wilham ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Ryan Wolfe ~ Senior Associate Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Sumeera Younis ~ Branch Chief, Disclosure Review and Accounting Office, Division of Investment Management, U.S. Securities and Exchange Commission
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute
Washington, D.C. Seminar Location

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

Hotel Accommodations

A block of rooms has been reserved at the Willard Intercontinental, 1401 Pennsylvania Avenue, Washington, D.C. , 20004.  Please contact the hotel directly at 888-424-6835 and reference Practising Law Institute or Group Code: IGT.  The cut off date for the preferred rate is January 29, 2015.  You may also book on line at  Practising Law Institute February 2015

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

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.

 

Why You Should

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

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

Workshop A: Compliance Inspections and Examinations
Workshop B: Trading and Markets
Workshop C: Enforcement
Workshop D: International Affairs

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

Workshop E: Corporation Finance
Workshop F: Accounting
Workshop G: Investment Management
Workshop H (Joint): Municipal Securities and Credit Ratings

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

 

Who Should Attend

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

Special Features

• All attendees and speakers are invited to a cocktail reception on Friday evening, immediately following the afternoon session.
• The Association of Securities and Exchange Commission Alumni, Inc. (ASECA) will give its annual dinner on Thursday, February 21, immediately following the conference and cocktail reception. For further information, go to www.SECalumni.org

Program Level: Overview

Intended Audience: In-house counsel, outside attorneys, and other allied professionals who interact with the Securities and Exchange Commission

Prerequisites: None

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.

Day One: 8:00 a.m. - 5:45 p.m.

8:00 Networking Breakfast

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

8:45 Chairman’s Remarks
Hon. Jay Clayton

Please note, credit is not offered for this segment.

9:05 SEC Speaks: Office of Compliance Inspections and Examinations
• 2019 Examination Priorities 
• TBD

Speakers: 
Peter B. Driscoll, Director, Office of Compliance Inspections and Examinations
Jessica Kane, Director, Office of Credit Ratings
Keith E. Cassidy, Associate Director, Technology Controls Program (TCP), Office of Compliance Inspections and Examinations
Kevin W. Goodman, Associate Director, FINRA and Securities Oversight (FSIO), Office of Compliance Inspections and Examinations
Daniel R. Gregus, Associate Director, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations
John S. Polise, Associate Director, National Broker-Dealer Exchange Program (BDX), Office of Compliance Inspections and Examinations 
James Reese, Chief Risk and Strategy Officer, Office of Risk and Strategy (ORS), Office of Compliance Inspections and Examinations
Kristin A. Snyder, Co-Deputy Director and  Co-National Associate Director, Investment Adviser/Investment Company Examination Program (IA/IC), Office of Compliance Inspections and Examinations
 
Commentators: TBD

10:10 Commissioner’s Remarks
Hon. Robert J. Jackson, Jr.

Please note, credit is not offered for this segment.

10:30 Networking Break

10:45 SEC Speaks: Division of Trading and Markets
• Market structure 
• Dodd-Frank implementation 
• Clearance and settlement 
• Risk analytics 
• Broker-Dealer issues

Speakers: Division of Trading and Markets 
Brett W. Redfearn, Director
Christian R. Sabella, Deputy Director 
Michael A. Macchiaroli, Associate Director
Thomas K. McGowan, Associate Director
John C. Roeser, Associate Director
David Saltiel, Associate Director
David S. Shillman, Associate Director

Commentators: TBD

11:50 Commissioner’s Remarks
Hon. Hester M. Peirce

Please note, credit is not offered for this segment.

12:10 Lunch

1:25 Commissioner’s Remarks
Hon. Elad L. Roisman

Please note, credit is not offered for this segment.

1:45 SEC Speaks: Division of Enforcement
• Overview and Observations 
• Legal and Policy Developments 
• Litigation Developments 
• FCPA and Cross-Border Matters 
• Public Finance Matters 
• Asset Management Matters 
• Whistleblower Matters

Speakers: Division of Enforcement
Stephanie Avakian, Co-Director
Steven R. Peikin, Co-Director

Commentators: TBD

2:50 Commissioner’s Remarks

3:10 Networking Break

3:25 SEC Speaks: Division of Economic and Risk Analysis
• DERA Overview and Update
• Index Funds and Price Discovery
• Materiality and Event Studies

Speakers: Division of Economic and Risk Analysis 
Chyhe Becker, Acting Chief Economist and Acting Director
Eugene Canjels, Assistant Director, Office of Litigation Economics
Austin Gerig, Assistant Director, Office of Research and Data Services
Hans G. Heidle, Branch Chief, Office of Markets
James McLoughlin, Financial Economist, Office of Asset Management

Commentators: TBD

4:30 Networking Break

4:45 Workshop A: Office of Compliance Inspections and Examinations
• TBD

Speakers: Office of Compliance Inspections and Examinations 
Allison M. Fakhoury, Senior Regulatory Counsel, Office of Clearance and Settlement
Katherine P. Feld, Senior Special Counsel to the Deputy Director
Grant A. Gartman, Assistant Director, FINRA and Securities Industry Oversight (FSIO)
Eric Garvey, Assistant Director, Office of Broker-Dealer and Exchange Program (BDX)
Rina Hussain, Assistant Director, Office of Broker-Dealer and Exchange Program (BDX)
Charles Koretke, Assistant Director, Office of Risk Analysis and Surveillance

4:45 Workshop B: Division of Trading and Markets
• Fixed income 
• Reg ATS 
• Trading practices and new products 
• Significant enforcement matters 
• Recent no-action letters, staff interpretations, and notable exemptive orders 
• Significant SRO rules 
• Clearing agency regulation and supervision 
• Title VII Status

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

4:45 Workshop C: Division of Enforcement
TBD
• 


Speakers: Division of Enforcement 
TBD

4:45 Workshop D: Office of International Affairs
• International Regulatory Policy
• Cross-Border Enforcement Cooperation
• Cross-Border Supervisory Cooperation

Speakers: Office of International Affairs 
Kurt G. Gresenz, Senior Assistant Director, Enforcement Cooperation 
Magdalena Camillo, Senior Special Counsel, Regulatory Policy
Thomas Swiers, Branch Chief, Enforcement Cooperation
Natasha Kaden, Senior Special Counsel, Supervisory Cooperation

5:45 Adjourn

Day Two: 8:00 a.m. - 4:30 p.m.

8:00 Networking Breakfast

8:30 Remarks by the Investor Advocate Rick A. Fleming
Please note, credit is not offered for this segment.

8:45 SEC Speaks: Division of Corporation Finance

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

(CPE Field of Study: Accounting)

Speakers: Division of Corporation Finance
William H. Hinman, Director
TBD

Commentators: TBD



9:50 SEC Speaks: Accounting

• Current financial disclosure issues
• Accounting and auditing issues
• Emerging practice issues
• Enforcement issues and trends

(CPE Field of Study: Accounting)

Speakers:
Wesley R. Bricker, Chief Accountant, Office of the Chief Accountant
Kyle L. Moffatt, Chief Accountant, Division of Corporation Finance 
Matthew S. Jacques, Chief Accountant, Division of Enforcement
Alison Staloch, Chief Accountant, Division of Investment Management

Commentators:
TBD



10:55 Networking Break

11:10 SEC Speaks: Division of Investment Management

• Division initiatives and rulemakings
• Guidance developments
• Disclosure and analytics developments

Speakers: Division of Investment Management
Dalia Osman Blass, Director 
Paul G. Cellupica, Deputy Director and Chief Counsel
Jon Hertzke, Assistant Director, Analytics Office
Brian M. Johnson, Assistant Director, Rulemaking
Michael Kosoff, Senior Special Counsel, Disclosure Review and Accounting Office
Daniele Marchesani, Assistant Chief Counsel

Commentators: 
Hon. Richard C. Breeden
Hon. Annette L. Nazareth
Hon. Laura S. Unger



12:15 Lunch

1:15 SEC Speaks: Judicial and Legislative Developments
• Liability for knowing dissemination of false or misleading statements in connection with a securities transaction: Lorenzo v. SEC
• ALJ constitutional challenges post-Lucia v. SEC 
• SEC remedies post-Kokesh v. SEC
• Insider trading developments

Speakers: Office of the General Counsel 
Robert B. Stebbins, General Counsel
Michael A. Conley, Solicitor
John W. Avery, Deputy Solicitor
Dominick V. Freda, Assistant General Counsel
Tracey A. Hardin, Assistant General Counsel
Hope H. Augustini, Senior Litigation Counsel
David D. Lisitza, Senior Litigation Counsel
Daniel Staroselsky, Senior Litigation Counsel
Lisa K. Helvin, Counsel to the General Counsel
Sarah R. Prins, Senior Counsel
Martin V. Totaro, Senior Counsel

Commentators: 
Hon. Roberta S. Karmel
Hon. Annette L. Nazareth

2:20 SEC Speaks: Ethical Issues for Securities Attorneys

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

(Ethics Credit)

Speakers: Office of the General Counsel
Richard M. Humes, Associate General Counsel
Thomas J. Karr, Assistant General Counsel
Donna McCaffrey, Special Trial Counsel

Commentators: 
Hon. Roberta S. Karmel



3:20 Networking Break

3:30 Workshop E: Division of Corporation Finance
• Disclosure and processing developments
• Accounting and financial reporting issues

Speakers: Division of Corporation Finance
TBD



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

Speakers: Office of the Chief Accountant 
Thomas Collens, Professional Accounting Fellow
Aaron Shaw, Professional Accounting Fellow
Ryan Wolfe, Senior Associate Chief Accountant
Giles Cohen, Deputy Chief Counsel

3:30 Workshop G: Division of Investment Management
• Enforcement updates
• Fund disclosure and processing developments
• No-action letters and exemptive relief updates
• Data analytics developments

Speakers: Division of Investment Management
Laura Hatch, Branch Chief, Analytics Office
David Marcinkus, Branch Chief, Chief Counsel’s Office
Sumeera Younis, Branch Chief, Disclosure Review and Accounting Office

3:30 Workshop H (Joint): Municipal Securities and Credit Ratings
• Municipal advisors
• Municipal market structure
• Municipal securities disclosure

Speakers: 
Speakers: Office of Municipal Securities
Rebecca Olsen, Director
Ahmed Abonamah, Senior Counsel to the Director
Adam Wendell, Attorney Adviser

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

4:30 Adjourn

Co-Chair(s)
Stephanie Avakian ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
William H. Hinman ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Speaker(s)
Ahmed Abonamah ~ Senior Counsel to the Director, Office of Municipal Securities, U.S. Securities and Exchange Commission
Hope H. Augustini ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
John W. Avery ~ Deputy Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Chyhe Becker ~ Acting Chief Economist and Acting Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Andrew R. Bernstein ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Dalia Osman Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Rita M. Bolger ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Hon. Richard C. Breeden ~ Chairman, Breeden Capital Management, LLC
Wesley R. Bricker ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Magdalena Camillo ~ Senior Special Counsel, Regulatory Policy, Office of International Affairs, U.S. Securities and Exchange Commission
Eugene Canjels ~ Assistant Director, Office of Litigation Economics, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Keith E. Cassidy ~ Associate Director, Technology Controls Program (TCP), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Paul G. Cellupica ~ Deputy Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission
Hon. Jay Clayton ~ Chairman, U.S. Securities and Exchange Commission
Giles Cohen ~ Deputy Chief Counsel, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Thomas Collens ~ Professional Accounting Fellow, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
David Dimitrious ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Peter B. Driscoll ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Allison Fakhoury ~ Senior Regulatory Counsel, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Katherine P. Feld ~ Senior Special Counsel to the Deputy Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Rick A. Fleming ~ Director, Office of the Investor Advocate, U.S. Securities and Exchange Commission
Dominick V. Freda ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Grant A. Gartman ~ Assistant Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Eric Garvey ~ Assistant Director, Office of Broker-Dealer and Exchange Program (BDX), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Austin Gerig ~ Assistant Director, Office of Research and Data Services, Division of Economic and Risk Analysis , U.S. Securities and Exchange Commission
Kevin W. Goodman ~ Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Daniel R. Gregus ~ Associate Director, Office of Clearance and Settlement, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Kurt G. Gresenz ~ Senior Assistant Director, Enforcement Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Tracey A. Hardin ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Laura Hatch ~ Branch Chief, Analytics Office, Division of Investment Management, U.S.Securities and Exchange Commission
Hans G. Heidle ~ Branch Chief, Office of Markets, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Lisa K. Helvin ~ Counsel to the General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Jon Hertzke ~ Assistant Director, Analytics Office, Division of Investment Management, U.S. Securities and Exchange Commission
Richard M. Humes ~ Associate General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Rina Hussain ~ Assistant Director, Office of Broker-Dealer and Exchange Program (BDX), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Hon. Robert J. Jackson, Jr. ~ Commissioner, U.S. Securities and Exchange Commission
Matthew S. Jacques ~ Chief Accountant, Division of Enforcement, U.S. Securities and Exchange Commission
Brian M. Johnson ~ Assistant Director, Rulemaking, Division of Investment Managment, U.S. Securities and Exchange Commission
Natasha Kaden ~ Senior Special Counsel, Supervisory Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Jessica Kane ~ Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Hon. Roberta S. Karmel ~ Centennial Professor of Law and Co-Director, Dennis J. Block Center for the Study of International Business Law, Brooklyn Law School
Thomas J. Karr ~ Assistant General Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Charles Koretke ~ Assistant Director, Office of Risk Analysis and Surveillance, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Michael Kosoff ~ Senior Special Counsel, Disclosure Review and Accounting Office, Division of Investment Management, U.S. Securities and Exchange Commission
David D. Lisitza ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Raymond Lombardo ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Michael A. Macchiaroli ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Neel Maitra ~ Attorney Adviser, Division of Trading and Markets, U.S. Securities and Exchange Commission
Daniele Marchesani ~ Assistant Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission
David Marcinkus ~ Branch Chief, Chief Counsel's Office, Division of Investment Management, U.S. Securities and Exchange Commission1
Donna McCaffrey ~ Special Trial Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Thomas K. McGowan ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
W. Carson McLean ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
James McLoughlin ~ Financial Economist, Office of Asset Management, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Kyle L. Moffatt ~ Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
Jeffrey S. Mooney ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Hon. Annette L. Nazareth ~ Davis Polk & Wardwell LLP
Rebecca Olsen ~ Director, Office of Municipal Securities, U.S. Securities and Exchange Commission
Kevin O'Neill ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Hon. Hester M. Peirce ~ Commissioner, U.S. Securities and Exchange Commission
John S. Polise ~ Associate Director, National Broker-Dealer Exchange Program (BDX), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Sarah R. Prins ~ Senior Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Tyler Raimo ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Brett W. Redfearn ~ Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
James Reese ~ Chief Risk and Strategy Officer, Office of Risk and Strategy (ORS), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
John C. Roeser ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Hon. Elad L. Roisman ~ Commissioner, U.S. Securities and Exchange Commission
Randall W. Roy ~ Deputy Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Christian R. Sabella ~ Deputy Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
David Saltiel ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Aaron Shaw ~ Professional Accounting Fellow, Office of the Chief Accoutant, U.S. Securities and Exchange Commission
David S. Shillman ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Kristin A. Snyder ~ Co-Deputy Director and Co-National Associate Director, Investment Adviser/Investment Company Examination Program (IA/IC), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Alison Staloch ~ Chief Accountant, Division of Investment Management, U.S. Securities and Exchange Commission
Daniel Staroselsky ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Robert B. Stebbins ~ General Counsel, Office of the General Counsel, U.S. Securites and Exchange Commission
Thomas Swiers ~ Branch Chief, Enforcement Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Martin V. Totaro ~ Senior Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Hon. Laura S. Unger ~ Independent Director and Private Consultant,
Adam Wendell ~ Attorney Adviser, Office of Municipal Securities, U.S. Securities and Exchange Commission
Michele B. Wilham ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Ryan Wolfe ~ Senior Associate Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Sumeera Younis ~ Branch Chief, Disclosure Review and Accounting Office, Division of Investment Management, U.S. Securities and Exchange Commission
Program Attorney(s)
Grace E. O'Hanlon ~ Senior Program Attorney, Practising Law Institute
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered. If two or more individuals wish to participate in a webcast and receive credit, PLI would be happy to provide a Groupcast – group viewing of a webcast. To schedule a Groupcast, please contact PLI at groupcasts@pli.edu.


U.S. MCLE States

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

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

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

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

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

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

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

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

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

Georgia:  PLI’s live webcasts qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

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

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

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

Indiana:  PLI’s live webcasts qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

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

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.

 

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