On-Demand   On-Demand Web Programs

The SEC Speaks in 2019

Released on: Apr. 15, 2019
Running Time: 13:59:52
Why You Should Attend

PLI is pleased to once again present, 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, Commissioners, the Investor Advocate, the Small Business Capital Formation Advocate, and the Chief Diversity Officer, as well as panel discussions by senior staff at each of the Divisions and Offices.

The audio workshops listed below are included as part of your purchase of The SEC Speaks in 2019 full On-Demand program. To access the full On-Demand program along with the two audio recordings, click here.

To purchase Division of Trading and Markets and/or Division of Investment Management separately, click on the title below.

(Audio) Workshop: Division of Trading and Markets

(Audio) Workshop: Division of Investment Management

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.

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 

Lecture Topics [Total time 13:59:52]

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

  • Opening Remarks* [00:09:06]
    Stephanie Avakian, William H. Hinman, Steven R. Peikin
  • Chairman’s Remarks* [00:25:51]
    Hon. Jay Clayton
  • SEC Speaks: Office of Compliance Inspections and Examinations [01:05:20]
    Peter B. Driscoll, Keith E. Cassidy, Kevin W. Goodman, Daniel R. Gregus, John S. Polise, Kristin A. Snyder, Jessica Kane, Hon. Harvey L. Pitt, Hon. Roel C. Campos, Daniel S. Kahl, Hon. Daniel M. Gallagher, Charles Koretke
  • Commissioner’s Remarks* [00:19:38]
    Hon. Robert J. Jackson, Jr.
  • SEC Speaks: Division of Trading and Markets [01:08:42]
    Brett W. Redfearn, Christian R. Sabella, Michael A. Macchiaroli, Thomas K. McGowan, John C. Roeser, David S. Shillman, Hon. Paul S. Atkins, Hon. David S. Ruder, Hon. Steven M. H. Wallman, Jeffrey S. Mooney, Mark E. Wolfe, Elizabeth H. Baird, Natasha V. Greiner
  • Commissioner’s Remarks* [00:20:30]
    Hon. Hester M. Peirce
  • Commissioner’s Remarks* [00:19:04]
    Hon. Elad L. Roisman
  • SEC Speaks: Division of Enforcement [01:06:20]
    Stephanie Avakian, Hon. Roel C. Campos, Steven R. Peikin, Hon. Daniel M. Gallagher, Joseph K. Brenner, Bridget Fitzpatrick, Marc P. Berger, Anita B. Bandy
  • Remarks by the Investor Advocate Rick A. Fleming* [00:13:55]
    Rick A. Fleming
  • Remarks by the Small Business Capital Formation Advocate Martha Legg Miller* [00:14:02]
    Martha Legg Miller
  • SEC Speaks: Division of Economic and Risk Analysis [01:00:16]
    Eugene Canjels, Austin Gerig, Hans G. Heidle, James McLoughlin, Hon. Steven M. H. Wallman, Hon. Daniel M. Gallagher, Mattias Nilsson, S.P. Kothari, Hon. Cynthia A. Glassman
  • Workshop C: Division of Enforcement* [01:00:15]
    Richard Best, Melissa Hodgman, Kelly Gibson, Daniel Michael, Robert A. Cohen, Charles E. Cain, Joseph Sansone, LeeAnn G. Gaunt, Charu Chandrasekhar, Kurt L. Gottschall
  • Remarks by Pamela A. Gibbs, Chief Diversity Officer* [00:15:29]
    Pamela A. Gibbs
  • SEC Speaks: Division of Corporation Finance [01:05:25]
    William H. Hinman, Hon. Paul S. Atkins, Hon. Edward H. Fleischman, Hon. Troy A. Paredes, Shelley E. Parratt, Michele M. Anderson, David R. Fredrickson, Jonathan A. Ingram, Shelly Luisi
  • SEC Speaks: Accounting [01:03:22]
    Wesley R. Bricker, Kyle L. Moffatt, Matthew S. Jacques, Alison Staloch, Hon. Cynthia A. Glassman, Hon. Elisse B. Walter, Hon. Daniel M. Gallagher
  • SEC Speaks: Division of Investment Management [01:05:45]
    Dalia Blass, Paul G. Cellupica, Jon Hertzke, Brian M. Johnson, Michael Kosoff, Hon. Annette L. Nazareth, Hon. Laura S. Unger, Andrea Ottomanelli Magovern
  • SEC Speaks: Judicial and Legislative Developments [01:05:44]
    Robert B. Stebbins, Michael A. Conley, Dominick V. Freda, Tracey A. Hardin, Hope H. Augustini, David D. Lisitza, Daniel Staroselsky, Lisa K. Helvin, Sarah R. Prins, Hon. Roberta S. Karmel, Hon. Annette L. Nazareth
  • SEC Speaks: Ethical Issues for Securities Attorneys [01:01:31]
    Richard M. Humes, Thomas J. Karr, Donna McCaffrey, Hon. Roberta S. Karmel, Hon. Edward H. Fleischman
  • Workshop E: Division of Corporation Finance* [00:59:37]
    Tamara M. Brightwell, Patrick Gilmore, Ted Yu, Jennifer A. Zepralka

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

  • COMPLETE COURSE HANDBOOK
  • U.S. Securities and Exchange Commission, Press Release, SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities (December 20, 2018)
  • 2019 National Exam Program Examination Priorities, Office of Compliance Inspections and Examinations
  • National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, November 8, 2018, Risk-Based Examination Initiatives Focused on Registered Investment Companies
  • National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, October 31, 2018, Investment Adviser Compliance Issues Related to the Cash Solicitation Rule
  • National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, July 11, 2018, Compliance Issues Related to Best Execution by Investment Advisers
  • National Exam Program Risk Alert, By the Office of Compliance Inspections and Examinations, Volume VII, Issue 2, April 12, 2018, Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers
  • Outline: SEC Speaks 2019, Division of Trading and Markets
  • Outline of Selected SEC Enforcement Actions, Division of Enforcement (September 30, 2017)
    Sherry A. Peyton, Angel Reyes, Kathleen Donnelly, Andres Franco
  • Brief for Professors at Law and Business Schools as Amicus Curiae in Support of Respondents, Matrixx Initiatives, Inc. v. Siracusano, No. 09-1156 (U.S. 2010)
  • Brief for the United States as Amicus Curiae Supporting Respondents, Matrixx Initiatives, Inc. v. Siracusano, No. 09-1156 (U.S. 2010)
  • The Implications of Passive Investing for Securities Markets, BIS Quarterly Review (March 2018)
    Vladyslav Sushko, Grant Turner
  • Compendium of Rulemaking and Public Statements Relating to the Developments in the Division of Corporation Finance in 2018
  • SEC Speech: Wesley Bricker, Chief Accountant, Office of the Chief Accountant, Statement in Connection with the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
  • SEC Speech: Kevin L. Vaughn, Senior Associate Chief Accountant, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
  • SEC Speech: Sarah N. Esquivel, Associate Chief Accountant, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
  • SEC Speech: Tom W. Collens, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
  • SEC Speech: Emily L. Fitts, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
  • SEC Speech: Rahim M. Ismail, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
  • SEC Speech: Andrew W. Pidgeon, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
  • SEC Speech: Sheri L. York, Professional Accounting Fellow, Office of the Chief Accountant, Remarks before the 2018 AICPA Conference on Current SEC and PCAOB Developments, Washington, D.C., December 10, 2018
  • Investment Management Compendium (January 1, 2018–December 1, 2018)
  • Personal Benefit Standard for Insider Trading Liability
  • Section 2462’s Applicability to Disgorgements: Kokesh v. SEC
  • Liability under the Federal Antifraud Provisions
  • Constitutionality of Administrative Law Judge Appointment
  • 2018 in Review: Opinions and Selected Orders Issued by the Securities and Exchange Commission (December 17, 2018)
    Benjamin L. Schiffrin, Kermit B. Kennedy, J.R. Ambrose, Joan Sedgwick-Sullivan
  • Office of International Affairs
  • Outline: Office of Municipal Securities
  • Annual Report on Nationally Recognized Statistical Rating Organizations (December 2018)
  • 2018 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (December 2018)

Presentation Material

  • Division of Economic Risk and Analysis
    Eugene Canjels, Austin Gerig, Hans G. Heidle, S.P. Kothari, James McLoughlin, Mattias Nilsson
  • Ethical Issues for SEC Practitioners
    Richard M. Humes, Thomas J. Karr, Donna McCaffrey
Co-Chair(s)
Stephanie Avakian ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
William H. Hinman ~ Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Steven R. Peikin ~ Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission
Speaker(s)
Ahmed Abonamah ~ Senior Counsel to the Director, Office of Municipal Securities, U.S. Securities and Exchange Commission
Michele M. Anderson ~ Associate Director (Disclosure Operations), Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Paul S. Atkins ~ Chief Executive Officer, Patomak Global Partners, LLC
Hope H. Augustini ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Elizabeth H. Baird ~ Deputy Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Anita B. Bandy ~ Associate Director, Home Office, Division of Enforcement, U.S. Securities and Exchange Commission
Marc P. Berger ~ Regional Director, New York Regional Office, U.S. Securities and Exchange Commission
Andrew R. Bernstein ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Richard Best ~ Regional Director, Atlanta Regional Office, Division of Enforcement, U.S. Securities and Exchange Commission
Dalia Blass ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Rita M. Bolger ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, U.S. Securities and Exchange Commission
Wesley R. Bricker ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Tamara M. Brightwell ~ Deputy Chief Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission
Charles E. Cain ~ Chief, FCPA Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Magdalena Camillo ~ Senior Special Counsel, Regulatory Policy, Office of International Affairs, U.S. Securities and Exchange Commission
Hon. Roel C. Campos ~ Hughes Hubbard & Reed LLP
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
Charu Chandrasekhar ~ Chief, Retail Strategy Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Jay Clayton ~ Chairman, U.S. Securities and Exchange Commission
Giles Cohen ~ Acting Chief Counsel, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Chief, Cyber Unit, Division of Enforcement, 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 R. 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
Bridget Fitzpatrick ~ Chief Litigation Counsel, Division of Enforcement, 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
David R. Fredrickson ~ Associate Director (Chief Counsel), Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Daniel M. Gallagher ~ Wilmer Cutler Pickering Hale and Dorr LLP
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
LeeAnn G. Gaunt ~ Chief, Public Finance Abuse Unit, Division of Enforcement, 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
Pamela A. Gibbs ~ Chief Diversity Officer, U.S. Securities and Exchange Commission
Kelly Gibson ~ Associate Regional Director, Philadelphia Regional Office, Division of Enforcement, U.S. Securities and Exchange Commission
Patrick Gilmore ~ Deputy Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Cynthia A. Glassman ~ Senior Research Scholar, Institute for Corporate Responsibility, George Washington University Business School
Kevin W. Goodman ~ Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Kurt L. Gottschall ~ Regional Director, Denver Regional Office, Division of Enforcement, 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
Natasha V. Greiner ~ Acting Chief Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Kurt G. Gresenz ~ Senior Assistant Director, Enforcement Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Alexis Hall ~ Senior Special Counsel, Office of Technology Controls Program, Office of Compliance Inspections and Examinations, 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
Melissa Hodgman ~ Associate Director, Home Office, Division of Enforcement, 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
Jonathan A. Ingram ~ Chief Legal Advisor, FinHub, Division of Corporation Finance, 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
Daniel S. Kahl ~ Co-Deputy Director and Chief Counsel, Office of Compliance Inspections and Examinations, 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
S.P. Kothari ~ Director and Chief Economist, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
David D. Lisitza ~ Senior Litigation Counsel, Office of the General Counsel, U.S. Securities and Exchange Commission
Shelly Luisi ~ Associate Director (Chief Risk Officer), Division of Corporation Finance, U.S. Securities and Exchange Commission
Michael A. Macchiaroli ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Andrea Ottomanelli Magovern ~ Branch Chief, Chief Counsel's Office, 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 Commission
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
James McLoughlin ~ Financial Economist, Office of Asset Management, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Daniel Michael ~ Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Martha Legg Miller ~ Director, Office of the Advocate for Small Business Capital Formation, U.S. Securities and Exchange Commission
Kyle L. Moffatt ~ Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
Jeffrey S. Mooney ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Hon. Annette L. Nazareth ~ Davis Polk & Wardwell LLP
David Nicolardi ~ Senior Counsel, Chief Counsel's Office, Division of Investment Management, U.S. Securities and Exchange Commission
Mattias Nilsson ~ Financial Economist, Office of Corporation Finance, Division of Economic and Risk Analysis , U.S. Securities and Exchange Commission
Jenny L. Ogasawara ~ Branch Chief, Division of Trading and Markets, U.S. Securities and Exchange Commission
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. Troy A. Paredes ~ Founder, Paredes Strategies LLC
Shelley E. Parratt ~ Deputy Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Hester M. Peirce ~ Commissioner, U.S. Securities and Exchange Commission
Hon. Harvey L. Pitt ~ Founder, CEO and Managing Director, Kalorama Partners, LLP; Kalorama Legal Services, PLLC
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
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
Hon. David S. Ruder ~ William W. Gurley Memorial Professor of Law Emeritus, Northwestern Pritzker School of Law
Christian R. Sabella ~ Deputy Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Elizabeth A. Sandoe ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Joseph Sansone ~ Chief, Market Abuse Unit, Division of Enforcement, 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
Sheila Dombal Swartz ~ Senior Special Counsel, Division of Trading and Markets , U.S. Securities and Exchange Commission
Thomas Swiers ~ Branch Chief, Enforcement Cooperation, Office of International Affairs, U.S. Securities and Exchange Commission
Hon. Laura S. Unger ~ Independent Director and Private Consultant,
Hon. Steven M. H. Wallman ~ Chief Executive Officer, Folio Financial, Inc.
Hon. Elisse B. Walter ~ Former Chairman and Commissioner, U.S. Securities and Exchange Commission
Adam Wendell ~ Attorney Adviser, Office of Municipal Securities, U.S. Securities and Exchange Commission
Timothy J. White, Jr. ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Michele B. Wilham ~ Assistant Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Mark E. Wolfe ~ Associate Director, Division of Trading and Markets, 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
Ted Yu ~ Chief, Office of Mergers and Acquisitions, Division of Corporation Finance , U.S. Securities and Exchange Commission
Jennifer A. Zepralka ~ Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

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


U.S. MCLE States

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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:  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 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:  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 on-demand web programs qualify as “video replay” credit. Attorneys are limited to 6 video replay 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:  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 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.

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 on-demand web programs may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as the “QAS Self-Study” 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 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.

Certified Financial Planners (CFP):  PLI’s on-demand web programs are not approved for CFP credit.

 

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