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2021 Securities Law Developments Virtual Conference CLE/CPE Credit

Sponsored by the ICI Education Foundation

November 1 and 3

Continuing Legal Education (CLE) Credit

The live program has been approved by California and Pennsylvania for CLE credit. Application for Continuing Legal Education (CLE) approval will be submitted by ICI to Illinois and Missouri. New York attorneys needing CLE credit, please refer to the New York’s CLE board Approved Jurisdiction policy. This two-day live program may qualify for approximately 4.5 hours of CLE credit. Recordings may not be eligible for CLE credit. Because the credit requirements vary from state to state and are governed by different regulatory agencies, some states may award less than 4.5 hours of credit, and we suggest that you contact your governing body to learn if this program meets your individual requirements.

Continuing Professional Education (CPE) Credit

Upon completion of this two-day live program, each participant will be eligible for approximately 6.0 hours of CPE credit. Recordings are not eligible for CPE credit. ICI is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors.

Learning objectives:

Recognize the importance of current securities and regulatory developments affecting investment companies and investment advisers. Provide updates on current regulatory developments affecting registered funds and investment advisers.

Program level:


Delivery mode:

Group internet based program

Recommended Field of Study:

Specialized knowledge


No prerequisites or advance preparations are necessary for this conference.

Certificates will be emailed to the address provided in your registration. CPE certificates may take up to four weeks to process. CLE certificates may take up to four to six weeks depending on when ICI receives approval(s). Please remember to remain logged in and respond to all polling questions when prompted.

Financial Aid Policy

ICI will make full or partial scholarships available for Institute conferences to lawyers and law students experiencing financial hardships. Under this policy, a financial hardship is defined as income of $35,000 or less.

No income:

100 percent discount

Income below $35,000:

50 percent discount

Income above $35,000:

No discount

To apply for financial aid, please submit a completed registration form, along with a letter stating your interest in attending the specific program. Law students must include a copy of their current student ID card. All requests for financial aid must be submitted at least four weeks prior to the start of the conference. ICI will review the submitted materials and inform you whether you have been approved for financial aid.

If you have any questions regarding administrative policies, CLE credit, or CPE credit, please contact Judy Lee at 202-218-3575 or cpe@ici.org or cle@ici.org.