Sponsored Education Online: Regaining Clarity During Regulatory Instability
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.
OK, we get it. Past performance really is no indication of future results.Yesterday's "hot topics" are just today's old news. But all the while, the level of hype and rhetoric emanating from state and federal securities regulators is at an all-time high and competitive threats are seemingly coming out of the woodwork. So what is a small business to do when navigating through this highly-regulated area?
Join MarketCounsel's Director of Professional Services, Dan Bernstein, and Senior Counsel, Alyssa Kolber, as they survey the day's most pressing legal and regulatory issues affecting investment advisors. In this session, they will provide some much needed clarity on these new and proposed changes, their effect on investment advisors, and ideas for maintaining regulatory compliance.
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.
Alyssa Kolber, JD, serves as Counsel at MarketCounsel and is an Associate of the Hamburger Law Firm, an affiliated boutique law firm providing the securities industry with unparalleled legal counsel. At MarketCounsel, she is responsible for overseeing the quality of client service as well as identifying program development projects that meet the needs of clients, all while ensuring that clients' expectations are exceeded. She is also responsible for providing assistance to clients of the RIA Incubator program as well as members of the RIA Institute for Compliance Management. Previously, Ms. Kolber served as a law clerk in the Enforcement Division of the U.S. Securities & Exchange Commission and was also a Law Clerk at the New Jersey Superior Court. Alyssa is admitted to the bars of New Jersey and New York. She has successfully passed the NASAA Uniform Investment Adviser Law Exam (Series 65). Alyssa went on to earn her Juris Doctor from The George Washington University Law School, graduating with honors while a member of The George Washington University International Law Review.