2013 Securities Law Developments Conference
December 11, 2013
You may register online, or you may complete the registration form and return it by mail to the Institute with a check or money order. Registrations are accepted on a first-come, first-served basis, and will not be accepted by phone.
*Members include all officers, partners, and employees of organizations that are currently members of the Institute. Associate members are SEC-registered investment advisers or FINRA-registered broker-dealers that are not the primary adviser or underwriter to an SEC-registered mutual fund. Associate members are limited to two conference registrations at the member rate.
ICI reserves the right to change incorrect registration types chosen by registrants up to 30 days after the event. If the registrant has an outstanding balance, ICI will notify the individual within the 30-day period to request payment.
If you register online, please note that your credit card will be charged immediately upon receipt of your registration.
If you register by mail, please return the completed form with a check to:
Investment Company Institute
PO Box 3077
Washington, DC 20061-3077
If you register via an express carrier, please return the completed form with a check to:
Investment Company Institute
ATTN: Accounting Department
1401 H Street, NW
Washington, DC 20005
Payment for registration fees must accompany all registration forms. Registrations received without payment information will not be processed. A notice of confirmation will be emailed within five (5) business days for online registrations, and within 10 business days for registrations with check payment.
Notices of cancellation must be received in writing. Cancellations received up to December 2, 2013, will be subject to a $150 administrative fee. After December 2, 2013, we regret that no registration fees can be refunded.
1001 16th Street, NW
Washington, DC 20036
Check-in: 3:00 p.m.
The conference will be held at the Capital Hilton, and the room rate is $249.00 (single/double) plus tax. Reservations for this conference can only be made online prior to November 11, 2013. The hotel block may sell out before the above cutoff date, so please make your reservation as soon as possible. The contracted rate is based upon room availability.
Business attire is customary for all conference events.
This conference is closed to members of the media.
CONTINUING LEGAL EDUCATION (CLE)
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.
CONTINUING PROFESSIONAL EDUCATION (CPE) CREDIT
Upon completion of Securities Law Developments Conference, each participant will be eligible for approximately 7.5 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 advisors.
Program Level: Basic
Delivery Mode: Group–Live Course
Recommended Field of Study: Specialized Knowledge and Applications
No prerequisites or advance preparations are necessary for these programs.
Please direct all questions regarding administrative policies, CLE credit, or CPE credit to Judy Lee of the Investment Company Institute at firstname.lastname@example.org or 202-218-3575.
ICI’S 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. Once your materials have been received, ICI will review them and inform you whether you have been approved for financial aid.
The Investment Company Institute assumes no liability for nonrefundable transportation costs, hotel accommodations, or additional costs incurred by registrants. Program and speakers are subject to change without notice. Please check periodically for program updates on the ICI conference website at www.ici.org/events.
Should you have any questions or concerns, please contact the Conference Division at 202-326-5968 or email@example.com.