Sponsored Education Online: State Registration…Are You Ready?
CPE CE Credit Approvals
The recommended number of CPE credit hours is: 1
The Society of Financial Service Professionals 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.
The Society offers programs at intermediate to advanced levels of continuing professional education. Although no pre-requisite course or advanced preparation is needed to participate in any program, knowledge of, or experience in, the program topic is required.
The Society's Refund Policy states that a refund may be given in most circumstances, less a $50 service fee. For more information regarding administrative policies on complaints and refunds, please contact our office at (800) 392-6900.
The following State Boards of Accountancy will accept CPE credit from National Registry Sponsors:
There are no formal registration requirements for course providers in the balance of the states.
* You must participate in the live event to get the PACE, CPE and CFP credit.
As a result of provisions enacted in the Dodd-Frank Act, 2012 will continue to witness a major sea change in the regulatory landscape, with a majority of registered investment advisers who manage between $25 million and $100 million in assets, shifting over to the jurisdiction of state regulators rather than the SEC. Join Dan Bernstein, Director of Professional Services for MarketCounsel, as he discusses the who, where, when and how in determining whether your firm will fall under the oversight of state regulators, and the steps you will need to take to comply.
Attendees will learn:
Daniel Bernstein, JD, is the Director of Professional Services of MarketCounsel, a business, regulatory, and compliance consulting firm for entrepreneurial investment advisory firms nationwide and a Principal of the Hamburger Law Firm, an affiliated boutique law firm providing the securities industry with unparalleled legal counsel. At MarketCounsel, he is responsible for the performance of all professional services undertaken by the firm. At the Hamburger Law Firm, Dan's work concentrates in the areas of the regulation and compliance of investment advisors and broker-dealers as well as the formation and ongoing responsibilities of private investment funds. Dan is often called upon to serve as a senior officer and qualifying principal on an interim basis for emerging organizations and firms in transaction. Dan is admitted to the bars of New Jersey and New York, as well as the U.S. District Court for the District of New Jersey. He has successfully passed the FINRA General Securities Representative Exam (Series 7), NASAA Uniform Investment Adviser Law Exam (Series 65) and maintains his New Jersey Property and Casualty and Health Insurance Producer licenses.