Continuing Professional Education (CPE) Credit

Upon completion of the 2012 General Membership Meeting program, each participant will be eligible for approximately 12.5 hours of CPE credit.

Upon completion of the 2012 Investment Company Directors Workshop program, each participant will be eligible for approximately 12.5 hours of CPE credit.

Upon completion of the 2012 Mutual Fund Compliance Programs Conference program, each participant will be eligible for approximately 10.0 hours of CPE credit.

Upon completion of the 2012 Operations and Technology Conference program, each participant will be eligible for approximately 12.5 hours of CPE credit.

The Investment Company Institute (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 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

No prerequisites or advance preparations are necessary for these programs.

Attendance: Due to NASBA recordkeeping requirements, your conference badge will be scanned automatically when you enter and exit conference sessions. Data collected by this process is used by ICI and will not be shared with any other organization for any purpose other than NASBA-required audits. Continuing Professional Education certificates for each conference and the workshop will be available at the conference registration desk on Thursday, May 10 and Friday, May 11. 

Continuing Legal Education (CLE)

The 2012 Mutual Fund Compliance Programs Conference program has been approved by the State Bar of California for CLE credit. Application for CLE approval will be submitted by ICI to Illinois and Pennsylvania. This program should qualify for approximately 6.0 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.

The 2012 Investment Company Directors Workshop program has been approved by the State Bar of California for CLE credit. Application for CLE approval will be submitted by ICI to Illinois and Pennsylvania. This program should qualify for approximately 1.0 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.

Attendance: Your conference badge will be scanned automatically when you enter and exit conference sessions. Data collected by this process is used by ICI and will not be shared with any other organization for any purpose other than state-required audits.

ICI’s Financial Aid Policy

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

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 (4) 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. 

Questions about CPE or CLE

Please direct all questions regarding administrative policies, CPE credit, or CLE credit to Judy Lee of ICI at icitraining@ici.org or 202-218-3575.