InstructorBrad Gallo
TypeOnline Course
PriceFree
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Tuition Options

myUniversity™

PracticeEdge Elite™ Not included

Standard Tuition $400 US

Senior Fellow Andrew Bowden, JD, Director, OCIE, SEC

The purpose of this Course is to provide a detailed profile of the SEC’s examination program for investment advisers and investment companies. The Course begins with an overview of the SEC’s entire national examination program, including the statutory basis for the SEC’s examination authority, and steps that the examination program has taken in the past three years to modernize and transform itself through a broad self-assessment process. This overview includes a description and analysis of the examination program’s strategic goals. This provides students with the context within which the IAIC program operates, and helps them to understand how the IAIC program connects to the national exam program’s overall strategic goals.

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LEARNING OBJECTIVES

FACULTY

CREDIT INFO

ACCREDITATION

Students shall learn the following within this Course:

  • Recognize the strategic objectives of the SEC’s examination program, and how the IAIC branch of the exam program associates with those objectives.
  • Differentiate between the different registration requirements and legal obligations of investment advisers and investment companies.
  • Discover how the SEC’s risk analysis process informs the selection of examination candidates.
  • Learn how those obligations are applied by the examination staff in its examinations, including differentiating between the different steps of the examination process, defining the various techniques that are typically used in investment advisory or investment company examinations, and will be able to apply these insights to consider how advisers and investment companies can structure their internal compliance programs to work in sync with the examination program.

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Senior Fellow:

  • Andrew Bowden, JD, Director, OCIE, SEC

 

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Accreditation Information

CLE Information

Credit Hours: 2
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information

CPE Information

Credit Hours: 4
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information

 

Course ID Number:  7601

 

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Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

Arizona: Does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. RCA programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.

New Hamphsire: The approval is for three years from recorded date.

New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.

New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.

North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.

Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.

Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.

Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.

Tennessee: The approval is for the calendar year in which the live program was presented.

Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

If applicable, the RCA will apply for credit in your state upon request.