The State Of The Art of Investment Advisor Regulations

SKU: FIN9900

MCLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!

Course Media Options

About This Course

This CLE course explores the latest developments in Investment Adviser Regulation, focusing on practical steps for investment advisers in light of the Fifth Circuit's decision to vacate the SEC's recent Private Investment Adviser regulations.

We'll examine why the SEC chose not to appeal the ruling and discuss the implications. The course will also cover emerging trends and best practices in artificial intelligence, the Marketing Rule, and other recent regulatory changes.

Additionally, we'll delve into broader judicial decisions, trends in SEC and regulatory actions, and the evolving scope of regulatory jurisdiction.

Spend less and get more

Get the courses that you need and the forms completed in days — not weeks or months.

Feature Ribbon Icon
CLE Manager on a headset

Dedicated CLE Manager

Quality help from a responsive CLE expert dedicated to assisting you.

Feature Ribbon Icon
A wall of media options

Riveting Content & an Exceptional Library

Experience outstanding presenters.

Feature Ribbon Icon
Customer viewing progress on a computer

Free Customized CLE Tracker

Keep crystal clear records of your courses and credits.

Feature Ribbon Icon
All of our media formats

Online, Audio CD, DVD, iOS/Android App, USB Stick

Learn at your pace, in the format that you prefer.

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options