ACCREDITED PROVIDER STATUS: New York County Lawyers’ Association is currently certified as an Accredited Provider of continuing legal education in the State of New York and the State of New Jersey.

PROGRAM CREDIT FOR OTHER MCLE STATES: Many states with MCLE requirements will grant continuing legal education credits for our programs. Please contact the appropriate State CLE Administration Office for information.

REFUNDS/TRANSFERS: Please check our website for complete refund and transfer policy.TUITION ASSISTANCE: Tuition assistance is available by application for qualified attorneys. Consult our website for application and submission procedure.

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NYCLA14 Vesey StreetNew York, NY 10007Attn: CLE Institute

Fax: 212-267-1745

Order online atwww.nycla.org

Call 212-267-6646ext. 215

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All Live classes are Transitional and Non-transitional unless indicated and are held at NYCLA, 14 Vesey Street, New York, NY 10007.

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CLE MADNESS: 2 PROGRAM COMPLIANCE SPECIAL

Earn 6.5 NY/NJ MCLE Credits – Including 3 Ethics – for one low price! This Spring NYCLA’s CLE Institute is offering 2 programs focusing on different aspects of compliance and enforcement.

Programs included in the special are:

Investor Protection of Dodd Frank Act and Enhanced Professionalism

Tuesday, March 25, 2014, 5:30 PM - 9:00 PM

4 NY Credits 2 Ethics; 2 PP :: 4 NJ Credits: 2 Ethics; 2 GeneralTransitional and Non-transitional

Join our expert faculty as we discuss the key issues regarding investor protection under the Dodd Frank Act.Panel 1: Disclosure and Market RegulationPanel 2: The Fiduciary Duty Standard for Broker-Dealers and Investment AdvisersPanel 3: Securities ArbitrationPanel 4: Professional Responsibility and Discipline for Lawyers, Accountants and Compliance Professionals Faculty: Norman Arnoff, Esq. (Chair); George Friedman, Fordham Law School; Brian Graifman, Gusrae Kaplan; Paul Immerman, Sherry & O'Neill; Tess Koncick, former SEC staffer, former Merrill Lynch attorney and 40 Act specialist; Don Malawsky, former Regional Administrator, NY Regional Office and former Sr. Counsel at Merrill Lynch; David Robbins, Kaufmann Gildin & Robbins LLP; Knut Rostad, Institute for the Fiduciary Standard; James Rothenberg, former SEC and NYSE staffer, NYSE specialist and noted expert witness; David Rubenstein, Weiser Mazur; Seth Taube, Baker Botts; Meryl Wiener, Warshaw Burstein, LLP

So You’re Interested in a Career in Compliance and Enforcement: Building Exciting Careers in Emerging Areas of

Administrative LawWednesday, April 23, 2014, 6:30 PM - 8:35 PM

2.5 NY Credits: 1 Ethics; 1.5 PP :: 2.5 NJ: 1 Ethics; 1.5 GeneralTransitional and Non-transitional

Join NYCLA's Young Lawyers Section for a panel discussion on the types of career opportunities available in compliance and enforcement. Learn how attorneys working for regulators and private corporations are building exciting careers by leveraging their knowledge and experience in emerging areas of administrative law. Understand the ethical dilemmas and ethical issues faced by attorneys engaged in compliance work. Faculty: Nicole Ferguson, Compliance Officer, Anti-Money Laundering, JP Morgan Chase; Aaron Lund, Associate Compliance Officer, NY Health and Hospitals Corporation; Jaclyn Munoz, Compliance Officer, Consumer Financial Protection Bureau; Mike Walker, Sr. Counsel, Office of Enforcement, Environmental Protection AgencyModerators: Nick Turner, Management Associate, Citigroup; Jenny Raphael, Cardozo Law School

CLE MADNESS: 2 PROGRAM COMPLIANCE SPECIAL:Registration Fee: NYCLA Member: $105 ◊ Non-member: $175