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2017 Securities Law Developments Conference
December 7
Washington, DC


This program has been approved by the State Bar of California for CLE credit. Application for Continuing Legal Education (CLE) approval will be submitted by ICI to Illinois and Pennsylvania. This program should qualify for approximately 6.5 hours of CLE credit. Because the credit requirements vary from state to state and are governed by different regulatory agencies, we suggest that you contact your governing body to learn if this program meets your individual requirements.


Upon completion of this program, each participant will be eligible for approximately 7 hours of CPE credit. The Investment Company Institute 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 through its website: www.learningmarket.org.

Learning objectives: Recognize the importance of current securities and regulatory developments affecting investment companies and investment advisers. Provide updates on current regulatory developments affecting mutual funds and investment advisers.
Program level: Basic
Delivery mode: Group-Live Course

Certificates were available at the conference registration desk on the day of the conference. Participants were asked to sign in and out of all required session.

No prerequisites or advance preparations were necessary for these programs.

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, applicants were asked to submit a completed registration form, along with a letter stating interest in attending the specific program. Law students were asked to include a copy of their current student ID card. All requests for financial aid had to be submitted at least four weeks before the start of the conference. ICI reviewed the submitted materials and communicate whether applicants were 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 jlee@ici.org.