On-Demand   On-Demand Web Programs

The SEC Speaks in 2016

Released on: Mar. 1, 2016
Running Time: 13:02:51

Running Time Segment Title Faculty Format
[01:04:36] Corporation Finance Hon. Edward H Fleischman ~
Elizabeth Murphy ~ Associate Director (Legal), Division of Corporation Finance, U.S. Securities and Exchange Commission
Shelley E Parratt ~ Deputy Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Karen J Garnett ~ Associate Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission
David R Fredrickson ~ Associate Director and Chief Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Troy A Paredes ~ Senior Strategy & Policy Advisor, PwC,
Michele M Anderson ~ Associate Director (Legal), Division of Corporation Finance, U.S. Securities and Exchange Commission
Sebastian Gomez Abero ~ Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:05:27] Trading and Markets Stephen Luparello ~ Director, Division of Trading and Markets, US Securities and Exchange Commission
Gary L Goldsholle ~ Deputy Director, Division of Trading and Markets, US Securities and Exchange Commission
Michael A Macchiaroli ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Gary Barnett ~ Deputy Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Thomas K McGowan ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
David S Shillman ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Hon. Annette L Nazareth ~ Davis Polk & Wardwell LLP
Heather A Seidel ~ Chief Counsel and Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Wenchi Hu ~ Associate Director, Clearance and Settlement - Supervision, Division of Trading and Markets, U.S. Securities and Exchange Commission
Brian A Bussey ~ Associate Director for Derivatives Policy and Trading Practices, U.S. Securities and Exchange Commission
Hon. Richard Y Roberts ~ Roberts, Raheb & Gradler, LLC
John C Roeser ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Christian R Sabella ~ Associate Director, Regulation,, Division of Trading and Markets, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:11:32] Enforcement Matthew C Solomon ~ Chief Litigation Counsel, Division of Enforcement, US Securities and Exchange Commission
Sharon B Binger ~ Regional Director, Division of Enforcement, US Securities & Exchange Commission
Hon. Harvey L Pitt ~ Founder, CEO and Managing Director, Kalorama Partners, LLC, Kalorama Legal Services PLLC
Andrew J Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Stephanie Avakian ~ Deputy Director, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Roel C Campos ~ Hughes Hubbard & Reed LLP
Robert A Cohen ~ Co-Chief, Market Abuse Unit, Division of Enforcement, US Securities and Exchange Commission
Michael J Osnato, Jr. ~ Chief of the Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Joseph K Brenner ~ Chief Counsel, Division of Enforcement, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:08:19] Economic and Risk Analysis Mark J Flannery ~ Director and Chief Economist, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Christof W Stahel ~ Assistant Director, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Austin Gerig ~ Financial Economist, Division of Economic and Risk Analysis , US Securities and Exchange Commission
Hon. Cynthia A Glassman ~ Senior Research Scholar, Institute for Coporate Responsibility, George Washington University Business School
Scott W Bauguess ~ Deputy Chief Economist and Deputy Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Chyhe K Becker ~ Associate Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:03:17] Workshop C: Enforcement Jason R Berkowitz ~ Co-Chair of the Microcap Fraud Task Force, Divison of Enforcement, U.S. Securities and Exchange Commission
Antonia Chion ~ Associate Director and co-head of the Broker-Dealer Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Andrew M Calamari ~ Regional Director, New York Regional Office, Division of Enforcement, U.S. Securities and Exchange Commission
Marshall S Sprung ~ Co-Chief of the Asset Management Unit, Division of Enforcement, US Securities and Exchange Commission
Margaret S McGuire ~ Chief, Financial Reporting and Audit Group, and Senior Counsel to the Director, US Securities and Exchange Commission
Lori Walsh ~ Chief, Risk and Quantitative Analytics, Division of Enforcement, US Securities and Exchange Commission
Kara N Brockmeyer ~ Chief, FCPA Unit; Division of Enforcement, U.S.Securities and Exchange Commission
LeeAnn G Gaunt ~ Chief, Municipal Securities and Public Pensions Unit, Division of Enforcement , US Securities and Exchange Commission
On-Demand MP3 MP4
[01:05:06] Investment Management Wiliam J Kotapish ~ Assistant Director, Disclosure Review, Division of Investment Management, US Securities and Exchange Commission
Diane C Blizzard ~ Associate Director, Rulemaking, Office of Investment Management, U.S. Securities and Exchange Commission
Douglas Scheidt ~ Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission
Hon. Paul S Atkins ~ Chief Executive , Patomak Global Partners, LLC
Jon D Hertzke ~ Assistant Director, Risk and Examinations, Division of Investment Management, US Securities and Exchange Commission
Hon. Daniel M Gallagher ~
David W Grim ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[00:58:46] Compliance Inspections and Examinations Thomas J Butler ~ Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Marc Wyatt ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Hon. Harvey L Pitt ~ Founder, CEO and Managing Director, Kalorama Partners, LLC, Kalorama Legal Services PLLC
John S Polise ~ Associate Director, Market Oversight, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Hon. Roel C Campos ~ Hughes Hubbard & Reed LLP
Jane E Jarcho ~ Associate Director, Investment Adviser/Investment Company Examinations, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Hon. Daniel M Gallagher ~
Askari J Foy ~ Associate Director, Technology Controls Program, Office of Compliance Inspections and Examination, US Securities and Exchange Commission
Kevin W Goodman ~ Associate Director, Broker-Dealer Examinations, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Barbara S Lorenzen ~ Associate Director, Office of Clearance and Settlement, Compliance Inspections and Examinations, US Securities and Exchange Commission
On-Demand MP3 MP4
[01:06:52] Accounting James V Schnurr ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Michael F Maloney ~ Chief Accountant, Division of Enforcement, U.S. Securities and Exchange Commission
Matthew Giordano ~ Chief Accountant, Division of Investment Management, US Securities and Exchange Commission
Hon. Edward H Fleischman ~
Hon. Paul S Atkins ~ Chief Executive , Patomak Global Partners, LLC
Craig C Olinger ~ Deputy Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[01:04:21] Judicial and Legislative Developments Jodie Morse ~ Counsel to the General Counsel, Office of the General Counsel, US Securities and Exchange Commission
Lisa K Helvin ~ Senior Counsel, Office of the General Counsel, US Securities and Exchange Commission
Jacob H Stillman ~ Senior Advisor to the Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Stephen G Yoder ~ Senior Litigation Counsel, Office of the General Counsel, US Securities and Exchange Commission
Hon. David S Ruder ~ William W. Gurley Memorial Professor of Law Emeritus, Northwestern University School of Law
John W Avery ~ Deputy Solicitor, Office of the General Counsel, 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
Michael A Conley ~ Solicitor, Office of the General Counsel, US Securities and Exchange Commission
Jeffrey A Berger ~ Senior Litigation Counsel, U.S. Securities and Exchange Commission
On-Demand MP3 MP4
[00:59:09] Ethics Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, US Securities and Exchange Commission
Hon. David S Ruder ~ William W. Gurley Memorial Professor of Law Emeritus, Northwestern University School of Law
Thomas J Karr ~ Assistant General Counsel, Office of the General Counsel, 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
Donna McCaffrey ~ Special Trial Counsel, Office of General Counsel, US Securities and Exchange Commission
On-Demand MP3 MP4
[01:00:11] Workshop G: Investment Management Sharon Pichler ~ Senior Specialized Financial Analyst, Risk and Examinations, Division of Investment Management, US Securities and Exchange Commission
Timothy Dulaney ~ Quantitative Research Analyst, Risk and Examinations, Division of Investment Management, U.S. Securities and Exchange Commission
Tim Husson ~ Branch Chief, Risk and Examinations, Divisio of Investment Management, US Securities and Exchange Commission
Christian T Sandoe ~ Assistant Director, Disclosure Review and Accounting, Division of Investment Management, US Securities and Exchange Commission
Daniele Marchesani ~ Branch Chief, Chief Counsel’s Office, Division of Investment Management, US Securities and Exchange Commission
Janet M Grossnickle ~ Assistant Director, Chief Counsel's Office, Enforcment Liason, Division of Investment Management, US Securities and Exchange Commission
Sara Cortes ~ Senior Special Counsel, Regulatory Policy and Investment Adviser Regulation, Division of Investment Management, US Securities and Exchange Commission
On-Demand MP3 MP4

At the beginning of each year, PLI presents in cooperation with the U.S. Securities and Exchange Commission The SEC Speaks program, providing an essential update on the current initiatives at the Commission, as well as the priorities for the coming year. In 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 in the smaller breakout workshop sessions.

The below video and audio workshops are included as part of your purchase of The SEC Speaks in 2016 full On-Demand program. To purchase the full On-Demand program along with the two audio recordings, click here.

*To purchase Corporation Finance and/or Compliance Inspections and Examinations separately, click on the title below.

(Video) Workshop: Enforcement

(Video) Workshop: Investment Management

(Audio) Workshop: Corporation Finance*

(Audio) Workshop: Compliance Inspections and Examinations*


Lecture Topics [Total time 13:02:51]

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


  • Opening Remarks* [00:03:00]
    Andrew J. Ceresney
  • Chair’s Remarks* [00:28:19]
    Hon. Mary Jo White
  • Corporation Finance [01:04:36]
    Hon. Edward H. Fleischman, Hon. Troy A. Paredes, David R. Fredrickson, Elizabeth Murphy, Michele M. Anderson, Sebastian Gomez Abero, Shelley E. Parratt, Karen J. Garnett
  • Commissioner’s Remarks* [00:26:44]
    Hon. Kara M. Stein
  • Trading and Markets [01:05:27]
    Gary Barnett, Gary L. Goldsholle, Brian A. Bussey, Wenchi Hu, Michael A. Macchiaroli, Thomas K. McGowan, Christian R. Sabella, Heather A. Seidel, David S. Shillman, Hon. Annette L. Nazareth, Hon. Richard Y. Roberts, John C. Roeser, Stephen Luparello
  • Remarks by the Investor Advocate Rick A. Fleming* [00:17:12]
    Rick A. Fleming
  • Enforcement [01:11:32]
    Stephanie Avakian, Joseph K. Brenner, Matthew C. Solomon, Michael J. Osnato, Jr., Sharon B. Binger, Hon. Harvey L. Pitt, Andrew J. Ceresney, Robert A. Cohen, Hon. Roel C. Campos
  • Economic and Risk Analysis [01:08:19]
    Mark J. Flannery, Chyhe K. Becker, Hon. Cynthia A. Glassman, Christof W. Stahel, Austin Gerig, Scott W. Bauguess
  • Workshop C: Enforcement [01:03:17]
    Marshall S. Sprung, Andrew M. Calamari, Antonia Chion, Kara N. Brockmeyer, Margaret S. McGuire, LeeAnn G. Gaunt, Jason R. Berkowitz, Lori Walsh
  • Investment Management [01:05:06]
    Diane C. Blizzard, Jon D. Hertzke, Wiliam J. Kotapish, Hon. Daniel M. Gallagher, Hon. Paul S. Atkins, David W. Grim, Douglas Scheidt
  • Compliance Inspections and Examinations [00:58:46]
    Marc Wyatt, Thomas J. Butler, Kevin W. Goodman, Jane E. Jarcho, Barbara S. Lorenzen, John S. Polise, Hon. Daniel M. Gallagher, Hon. Harvey L. Pitt, Askari J. Foy, Hon. Roel C. Campos
  • Accounting [01:06:52]
    James V. Schnurr, Michael F. Maloney, Hon. Edward H. Fleischman, Matthew Giordano, Hon. Paul S. Atkins, Craig C. Olinger
  • Judicial and Legislative Developments [01:04:21]
    Michael A. Conley, Jacob H. Stillman, John W. Avery, Hon. Roberta S. Karmel, Hon. David S. Ruder, Jeffrey A. Berger, Stephen G. Yoder, Lisa K. Helvin, Jodie Morse
  • Ethics [00:59:09]
    Thomas J. Karr, Donna McCaffrey, Hon. Roberta S. Karmel, Hon. David S. Ruder, Jeff Rosenblum
  • Workshop G: Investment Management [01:00:11]
    Janet M. Grossnickle, Timothy Dulaney, Sharon Pichler, Sara Cortes, Tim Husson, Christian T. Sandoe, Daniele Marchesani

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


  • COMPLETE COURSE HANDBOOK
  • Compendium of rulemaking and public statements relating to the developments in the Division of Corporation Finance in 2015
  • Outline: SEC Speaks 2016, Division of Trading and Markets
  • Outline of Selected SEC Enforcement Actions, November 2014
    Sherry A. Peyton, Rachel Weitzman
  • SEC Staff Report on the Review of the Definition of “Accredited Investor,” December 18, 2015
  • SEC White Paper, Liquidity and Flows of U.S. Mutual Funds, Prepared for Mark Flannery, Director and Chief Economist of the Division of Economic and Risk Analysis, September 2015
  • SEC Speech, Mark J. Flannery, Chief Economist and Director, Insights into the SEC’s Risk Assessment Programs, Global Association of Risk Professionals 16th Annual Risk Assessment Convention, New York, February 25, 2015
  • Memorandum to Staff of the Rulewriting Divisions and Offices from RSFI and OCG dated March 16, 2012 Re: Current Guidance on Economic Analysis in SEC Rulemakings
  • SEC DERA Working Paper Series, Automated Liquidity Provision
  • SEC DERA Working Paper Series, Too Fast or Too Slow? Determining the Optimal Speed of Financial Markets
  • Outline: Office of International Affairs
  • National Exam Program Risk Alert, by the Office of Compliance Inspections and Examinations, Volume IV, Issue 8, September 15, 2015, OCIE’s 2015 Cybersecurity Examination Initiative
  • National Exam Program Risk Alert, by the Office of Compliance Inspections and Examinations, Volume IV, Issue 7, August 24, 2015, Broker-Dealer Controls Regarding Retail Sales of Structured Securities Products
  • National Exam Program Risk Alert, by the Office of Compliance Inspections and Examinations, Volume IV, Issue 6, June 22, 2015, Retirement-Targeted Industry Reviews and Examinations Initiative
  • SEC Speech, Kevin W. Goodman, National Associate Director, Broker-Dealer Examination Program, Anti-Money Laundering: An Often-Overlooked Cornerstone of Effective Compliance, Securities Industry and Financial Markets Association, June 18, 2015
  • SEC Speech, Marc Wyatt, Acting Director, Private Equity: A Look Back and a Glimpse Ahead, New York, May 13, 2015
  • National Exam Program Risk Alert, by the Office of Compliance Inspections and Examinations, Volume IV, Issue 5, April 20, 2015, OCIE’s Never-Before-Examined Registered Investment Company Initiative
  • National Exam Program Risk Alert, by the Office of Compliance Inspections and Examinations, Volume IV, Issue 4, February 3, 2015, Cybersecurity Examination Sweep Summary
  • Letter to Chief Regulatory Officers from the Office of Market Oversight within the Office of Compliance Inspections and Examinations Regarding Examination Priorities for Fiscal Year 2015, January 13, 2015
  • National Exam Program, Office of Compliance Inspections and Examinations, Examination Priorities for 2015
  • National Senior Investor Initiative, A Coordinated Series of Examinations, The SEC’s Office of Compliance Inspections and Examinations and FINRA
  • SEC Speech, James V. Schnurr, Chief Accountant, Office of the Chief Accountant, Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C., December 9, 2015
  • SEC Speech, Wesley R. Bricker, Deputy Chief Accountant, Office of the Chief Accountant, Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C., December 9, 2015
  • SEC Speech, Brian T. Croteau, Deputy Chief Accountant, Office of the Chief Accountant, Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C., December 9, 2015
  • SEC Speech, Julie A. Erhardt, Deputy Chief Accountant, Office of the Chief Accountant, Remarks before the 2015 AICPA National Conference on Current SEC and PCAOB Developments, Washington, D.C., December 9, 2015
  • Recent Significant Judicial Developments, Securities and Exchange Commission, Office of the General Counsel (December 14, 2015)
  • 2015 in Review: Opinions and Selected Orders Issued by the Securities and Exchange Commission (December 11, 2015)
    Kermit B. Kennedy, Laura M. Jarsulic, J.R. Ambrose, Joan Sedgwick-Sullivan
  • 17 CFR § 201.102, Appearance and practice before the Commission
  • 17 CFR Part 205, Standards of Professional Conduct for Attorneys Appearing and Practicing before the Commission in the Representation of an Issuer
  • Registration of Municipal Advisors, Frequently Asked Questions, Office of Municipal Securities (May 19, 2014)
  • 2015 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization, December 2015
  • SEC Staff Annual Report on Nationally Recognized Statistical Rating Organizations, December 2015
  • Outline: Division of Investment Management

Presentation Material


  • Economic Risk and Analysis
    Scott W. Bauguess, Chyhe K. Becker, Mark J. Flannery, Austin Gerig, Hon. Cynthia A. Glassman, Christof W. Stahel
  • Ethics
    Hon. Roberta S. Karmel, Thomas J. Karr, Donna McCaffrey, Jeff Rosenblum, Hon. David S. Ruder
Co-Chair(s)
Andrew J. Ceresney ~ Director, Division of Enforcement, U.S. Securities and Exchange Commission
Speaker(s)
Sebastian Gomez Abero ~ Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. Securities and Exchange Commission
Michele M. Anderson ~ Associate Director (Legal), Division of Corporation Finance, U.S. Securities and Exchange Commission
Alberto A. Arevalo ~ Associate Director, International Cooperation and Technical Assistance, Office of International Affairs, U.S. Securities and Exchange Commission
Hon. Paul S. Atkins ~ Chief Executive , Patomak Global Partners, LLC
Stephanie Avakian ~ Deputy Director, Division of Enforcement, U.S. Securities and Exchange Commission
John W. Avery ~ Deputy Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Gary Barnett ~ Deputy Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Scott W. Bauguess ~ Deputy Chief Economist and Deputy Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Chyhe K. Becker ~ Associate Director, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Jeffrey A. Berger ~ Senior Litigation Counsel, U.S. Securities and Exchange Commission
Jason R. Berkowitz ~ Co-Chair of the Microcap Fraud Task Force, Divison of Enforcement, U.S. Securities and Exchange Commission
Sharon B. Binger ~ Regional Director, Division of Enforcement, US Securities & Exchange Commission
Diane C. Blizzard ~ Associate Director, Rulemaking, Office of Investment Management, U.S. Securities and Exchange Commission
Joseph K. Brenner ~ Chief Counsel, Division of Enforcement, U.S. Securities and Exchange Commission
Kara N. Brockmeyer ~ Chief, FCPA Unit; Division of Enforcement, U.S.Securities and Exchange Commission
Brian A. Bussey ~ Associate Director for Derivatives Policy and Trading Practices, U.S. Securities and Exchange Commission
Thomas J. Butler ~ Director, Office of Credit Ratings, U.S. Securities and Exchange Commission
Andrew M. Calamari ~ Regional Director, New York Regional Office, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Roel C. Campos ~ Hughes Hubbard & Reed LLP
Roy M. Cheruvelil ~ Assistant Director, Division of Trading and Markets, US Securities and Exchange Commission
Antonia Chion ~ Associate Director and co-head of the Broker-Dealer Task Force, Division of Enforcement, U.S. Securities and Exchange Commission
Robert A. Cohen ~ Co-Chief, Market Abuse Unit, Division of Enforcement, US Securities and Exchange Commission
Michael A. Conley ~ Solicitor, Office of the General Counsel, US Securities and Exchange Commission
Sara Cortes ~ Senior Special Counsel, Regulatory Policy and Investment Adviser Regulation, Division of Investment Management, US Securities and Exchange Commission
Carlos Costa-Rodrigues ~ Attorney-Adviser, Technical Assistance and FCPA, Office of International Affairs, US Securities and Exchange Commission
Valerie Dahiya ~ Branch Chief, Division of Trading and Markets, US Securities and Exchange Commission
Michelle A. Danis ~ Assistant Director, Division of Trading and Markets, US Securities and Exchange Commission
Justin Dobbie ~ Legal Branch Chief, Division of Corporation Finance, U.S. Securities and Exchange Commission
Timothy Dulaney ~ Quantitative Research Analyst, Risk and Examinations, Division of Investment Management, U.S. Securities and Exchange Commission
Kris Easter Guidroz ~ Senior Special Counsel, Supervisory Cooperation, Office of International Affairs, US Securities and Exchange Commission
Donna C. Esau ~ Senior Policy Advisor, Investment Adviser/Investment Company Examinations, Office of Compliance Inspections and Examinations , US Securities and Exchange Commission
Edward Fierro ~ Senior Counsel to the Director, Office of Municipal Securities, US Securities and Exchange Commission
Mark J. Flannery ~ Director and Chief Economist, Division of Economic and Risk Analysis, U.S. Securities and Exchange Commission
Rick A. Fleming ~ Director, Office of Investor Advocate, U.S. Securities and Exchange Commission
Askari J. Foy ~ Associate Director, Technology Controls Program, Office of Compliance Inspections and Examination, US Securities and Exchange Commission
David R. Fredrickson ~ Associate Director and Chief Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission
Karen J. Garnett ~ Associate Director, Disclosure Operations, Division of Corporation Finance, U.S. Securities and Exchange Commission
Grant A. Gartman ~ Assistant Director, Office of Market Oversight, US Securities and Exchange Commission
Eric Garvey ~ the Assistant Director, Transfer Agent Examinations in the Clearance and Settlement examination group, Office of Compliance Inspections and Examinations, US Securities and Exchange Commission
LeeAnn G. Gaunt ~ Chief, Municipal Securities and Public Pensions Unit, Division of Enforcement , US Securities and Exchange Commission
Austin Gerig ~ Financial Economist, Division of Economic and Risk Analysis , US Securities and Exchange Commission
James T. Giles ~ Assistant Director, Broker Dealer Examinations, Office of Compliance Inspections and Examinations , U.S. Securities and Exchange Commission
Matthew Giordano ~ Chief Accountant, Division of Investment Management, US Securities and Exchange Commission
Hon. Cynthia A. Glassman ~ Senior Research Scholar, Institute for Coporate Responsibility, George Washington University Business School
Gary L. Goldsholle ~ Deputy Director, Division of Trading and Markets, US Securities and Exchange Commission
Kevin W. Goodman ~ Associate Director, Broker-Dealer Examinations, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Daniel M. Gray ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Matthew Greiner ~ Branch Chief, Cross Border Enforcement Cooperation, Office of International Affairs, US Securities and Exchange Commission
David W. Grim ~ Director, Division of Investment Management, U.S. Securities and Exchange Commission
Janet M. Grossnickle ~ Assistant Director, Chief Counsel's Office, Enforcment Liason, Division of Investment Management, US Securities and Exchange Commission
Lisa K. Helvin ~ Senior Counsel, Office of the General Counsel, US Securities and Exchange Commission
Jon D. Hertzke ~ Assistant Director, Risk and Examinations, Division of Investment Management, US Securities and Exchange Commission
Ethan Horowitz ~ Accounting Branch Chief, Division of Corporation Finance, US Securities and Exchange Commission
Wenchi Hu ~ Associate Director, Clearance and Settlement - Supervision, Division of Trading and Markets, U.S. Securities and Exchange Commission
Tim Husson ~ Branch Chief, Risk and Examinations, Divisio of Investment Management, US Securities and Exchange Commission
Kathleen M. Hutchinson ~ Assistant Director, Regulatory Policy, Office of International Affairs, US Securities and Exchange Commission
Jane E. Jarcho ~ Associate Director, Investment Adviser/Investment Company Examinations, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Jessica Kane ~ Director, Office of Municipal Securities, US 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
Wes Kelly ~ Professional Accounting Fellow, Office of the Chief Accountant, US Securities and Exchange Commission
Wiliam J. Kotapish ~ Assistant Director, Disclosure Review, Division of Investment Management, US Securities and Exchange Commission
Cicely LaMothe ~ Associate Director, Division of Corporate Finance, US Securities and Exchange Commission
Denise Landers ~ Assistant Director, Division of Trading and Markets, US Securities and Exchange Commission
Barbara S. Lorenzen ~ Associate Director, Office of Clearance and Settlement, Compliance Inspections and Examinations, US Securities and Exchange Commission
Stephen Luparello ~ Director, Division of Trading and Markets, US Securities and Exchange Commission
Michael A. Macchiaroli ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Michael F. Maloney ~ Chief Accountant, Division of Enforcement, U.S. Securities and Exchange Commission
Daniele Marchesani ~ Branch Chief, Chief Counsel’s Office, Division of Investment Management, US Securities and Exchange Commission
Donna McCaffrey ~ Special Trial Counsel, Office of General Counsel, US Securities and Exchange Commission
Carol McGee ~ Assistant Director, Division of Trading and Markets, US Securities and Exchange Commission
Suzanne McGovern ~ Assistant Director, Broker-Dealer Exam Program, Office of Compliance Inspections and Examinations, US Securities and Exchange Commission
Thomas K. McGowan ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Margaret S. McGuire ~ Chief, Financial Reporting and Audit Group, and Senior Counsel to the Director, US Securities and Exchange Commission
Jodie Morse ~ Counsel to the General Counsel, Office of the General Counsel, US Securities and Exchange Commission
Elizabeth Murphy ~ Associate Director (Legal), Division of Corporation Finance, U.S. Securities and Exchange Commission
Hon. Annette L. Nazareth ~ Davis Polk & Wardwell LLP
Lauren Nguyen ~ Legal Branch Chief, Divison of Corporation Finance, U.S. Securities and Exchange Commission
Kevin M. O’Neill ~ Assistant Director, Office of Credit Ratings, US Securities and Exchange Commission
Craig C. Olinger ~ Deputy Chief Accountant, Division of Corporation Finance, U.S. Securities and Exchange Commission
Rebecca Olsen ~ Deputy Director, Office of Municipal Securities , U.S. Securities and Exchange Commission
Michael J. Osnato, Jr. ~ Chief of the Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission
Hon. Troy A. Paredes ~ Senior Strategy & Policy Advisor, PwC,
Shelley E. Parratt ~ Deputy Director, Division of Corporation Finance, U.S. Securities and Exchange Commission
Sharon Pichler ~ Senior Specialized Financial Analyst, Risk and Examinations, Division of Investment Management, US Securities and Exchange Commission
Hon. Harvey L. Pitt ~ Founder, CEO and Managing Director, Kalorama Partners, LLC, Kalorama Legal Services PLLC
John S. Polise ~ Associate Director, Market Oversight, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Smeeta Ramarathnam ~ Deputy Director, Office of Credit Ratings , U.S. Securities and Exchange Commission
Hon. Richard Y. Roberts ~ Roberts, Raheb & Gradler, LLC
John C. Roeser ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Jeff Rosenblum ~ Deputy General Counsel, Office of the General Counsel, US Securities and Exchange Commission
Moshe D. Rothman ~ Branch Chief, Division of Trading and Markets, US 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 University School of Law
Christian R. Sabella ~ Associate Director, Regulation,, Division of Trading and Markets, U.S. Securities and Exchange Commission
Christian T. Sandoe ~ Assistant Director, Disclosure Review and Accounting, Division of Investment Management, US Securities and Exchange Commission
Shauna Sappington Vlosich ~ Branch Chief, Division of Trading and Markets, US Securities and Exchange Commission
Douglas Scheidt ~ Associate Director and Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission
Edward Schmidt ~ Assistant Director, Technology Controls Program, Office of Compliance Inspections and Examinations, US Securities and Exchange Commission
James V. Schnurr ~ Chief Accountant, Office of the Chief Accountant, U.S. Securities and Exchange Commission
Heather A. Seidel ~ Chief Counsel and Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
David S. Shillman ~ Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Matthew C. Solomon ~ Chief Litigation Counsel, Division of Enforcement, US Securities and Exchange Commission
Marshall S. Sprung ~ Co-Chief of the Asset Management Unit, Division of Enforcement, US Securities and Exchange Commission
Christof W. Stahel ~ Assistant Director, Division of Economic and Risk Analysis, US Securities and Exchange Commission
Hon. Kara M. Stein ~ Commissioner, U.S. Securities and Exchange Commission
Jacob H. Stillman ~ Senior Advisor to the Solicitor, Office of the General Counsel, U.S. Securities and Exchange Commission
Jennifer K. Thompson ~ Accounting Branch Chief, Division of Corporation Finance, US Securities and Exchange Commission
Ruth Uejio ~ Professional Accounting Fellow, Office of the Chief Accountant, US Securities and Exchange Commission
Lori Walsh ~ Chief, Risk and Quantitative Analytics, Division of Enforcement, US Securities and Exchange Commission
Hon. Mary Jo White ~ Chair, U.S. Securities and Exchange Commission
Michele B. Wilham ~ Assistant Director, Office of Credit Ratings, US Securities and Exchange Commission
Ryan Wolfe ~ Senior Associate Chief Accountant, Office of the Chief Accountant, US Securities and Exchange Commission
Marc Wyatt ~ Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Stephen G. Yoder ~ Senior Litigation Counsel, Office of the General Counsel, US 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.

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 6 credits of distance education per reporting period.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

New York

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 10 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.


Other Credit Types

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

IRS Continuing Education (IRS-CE):  PLI’s on-demand web programs may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at cleadministrator@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 cleadministrator@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.

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.

IIEI Recertification:  PLI’s on-demand web programs may qualify for the Continuing Education Units (CEUs) necessary to fulfill the Certified U.S. Export Compliance Officer® (CUSECO) continuing education requirements.

 

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