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    Fiduciary Responsibilities for Investment Advisers: Recent Rulemaking and other Advanced Issues [CC]

    Fiduciary Responsibilities for Investment Advisers: Recent Rulemaking and other Advanced Issues [CC]
    CLE 90 min

    Fiduciary Responsibilities for Investment Advisers: Recent Rulemaking and other Advanced Issues [CC]

    Join us for an in-depth look at fiduciary duties for investment advisers. We will explore recent rule changes and advanced fiduciary duties which are lesser known but still subject to examination by regulators. Recent rule changes include Department of Labor updates expanding fiduciary "investment advice" status for retirement advisers and updates by the SEC to the internet adviser exemption ("robo-advisers"). Panelists will also discuss SEC rules such as Regulation Best Interest, and FINRA rules such as Best Execution. Exam focuses and risks will be explored at length, particularly liability disclaimers ("hedge clauses"), illiquid and alternative assets (such as crypto), and marketing rule compliance.

    Select your state to learn more about the credit details and status of CLE application. Credit is not available for states not listed.

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      07/15/2029

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2025

    1.50 total credit hours including

    • Substantive Law

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2027

    2.00 total credit hours including

    • General

      Status:

      Approved

      2.00 credit hours

      Available until:

      12/31/2026

    1.50 total credit hours including

    • General

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Applied for

      1.50 credit hours

      Available until:

      07/15/2025

    2.00 total credit hours including

    • General

      Status:

      Self apply

      2.00 credit hours

      Available until:

      01/15/2026

    1.50 total credit hours including

    • General

      Status:

      Applied for

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2026

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      07/15/2029

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2026

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      12/31/2025

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      07/15/2029

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      06/30/2025

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      07/15/2025

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      07/15/2026

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2026

    1.50 total credit hours including

    • General

      Status:

      Applied for

      1.50 credit hours

      Available until:

      07/15/2027

    1.80 total credit hours including

    • General

      Status:

      Available for credit

      1.80 credit hours

      Available until:

      07/15/2029

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      07/15/2026

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      12/31/2027

    1.50 total credit hours including

    • General

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      07/15/2027

    1.80 total credit hours including

    • General

      Status:

      Reciprocity

      1.80 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2029

    1.50 total credit hours including

    • Areas of Professional Practice

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      02/28/2025

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2027

    1.80 total credit hours including

    • substantive legal education and skills development

      Status:

      Available for credit

      1.80 credit hours

      Available until:

      07/15/2028

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      12/31/2025

    2.00 total credit hours including

    • General

      Status:

      Approved

      2.00 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • Substantive

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2026

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2026

    1.50 total credit hours including

    • General

      Status:

      Available for credit

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Applied for upon completion

      1.50 credit hours

      Available until:

      12/31/2025

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2025

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      06/30/2025

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2027

    1.80 total credit hours including

    • General

      Status:

      Approved

      1.80 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • Law & Legal Procedure

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2029

    1.80 total credit hours including

    • General

      Status:

      Approved

      1.80 credit hours

      Available until:

      07/15/2027

    1.50 total credit hours including

    • General

      Status:

      Approved

      1.50 credit hours

      Available until:

      07/15/2025

    1.50 total credit hours including

    • General

      Status:

      Self apply

      1.50 credit hours

      Available until:

      07/15/2027

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    MEMBERS
    $00
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    CLE Information
    The ABA will seek 1.50 hours of CLE credit in 60-minute states, and 1.80 hours of CLE credit for this program in 50-minute states. Credit hours are estimated and are subject to each state's approval and credit rounding rules. Please visit the ABA MCLE website for general information on CLE.

    Scholarship Information
    A limited number of scholarships are available to defray the registration fee upon application. Preference will be given to practitioners with limited means and unemployed attorneys. Please contact Quiana Nesbit for more information at [email protected] .

    Product Details

    Sponsors

    Business Law Section, Federal Regulation of Securities

    Product Code

    CL2407KNW11OLC

    Duration

    90

    Publication Date

    7/16/2024 12:00:00 AM

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