NEW YORK CLE CERTIFICATE OF ATTENDANCE

NEW YORK CLE CERTIFICATE OF ATTENDANCE MAY BE USED ONLY FOR PROGRAMS ACCREDITED BY THE NYS CLE BOARD ALL INFORMATION MUST BE ENTERED BY THE CLE PROVIDER This certificate is issued under §I500.4(b)(12) of the NYS CLE Program Rules and under §I 0(B) of the NYS CLE Board Regulations and Guidelines. By issuing this certificate, the CLE provider verifies that the attorney named below completed this program. Attorneys must retain their certificates of attendance for at least four (4) years from the date of the program. NAME OF ATTORNEY: Revised 03/11 New York State CLE Board wnw.nycourts.goviattomeysicle Darren K Indyke TITLE OF PROGRAM: Fundamentals of Investment Adviser Regulation 2011 DATE(S) OF ATTENDANCE: (For self-study programs. indicate date attorney completed program.) LOCATION (City/Efate): (For self-miry programs. check AlotAppOcable.") 2/28)2012 a Not Applicable FORMAT OF PROGRAM: (Check only the format completed by the attorney to whom this certificate is issued.) TRADITIONAL LIVE CLASSROOM FORMAT O VIDEOCONFERENCE APPROVED FOR NEWLY ADMITTED ATTORNEYS Note: Newly admitted attorneys may not earn credit through the formats below, except as provided in §2(F) of the Regulations. Audlotape O Audio CD O Audio file Online audio ▪ Videotape DVDNIdeo CD O Video file 0 Online video O Teleconference Videoconterence O Webconference Uve broadcast El Other: (Descnibe below.) ATTORNEYS METHOD OF PARTICIPATION:(cneck only one) O GROUP SETTING or OX INDIVIDUAUSELF-STUDY (including an attorney inckviduallydiaNng in or logging in to a webconference. teleconference or webcast or individually viewinglistening to a recorded program) LEVEL OF DIFFICULTY—the content of the course is appropriate for: (check only one) ki BOTH newly admitted and experienced attorneys (transitional 'nontransitional). or n experienced attorneys ONLY(nontransitional). or O newly admitted attorneys ONLY(transitional) CREDIT for ATTENDANCE One hour of CLE credit consists of 50 minutes of instruction. (Introductory remarks, meals, breaks and other noneducational activities are not to be included in the computation of credit.) To calculate CLE credit, take the total number of minutes of instruction. divide by 50, and then round down to the nearest .5 credit hour . (For example, a 90.minute program equals 1.5 CLE credits; a 24.minute program equals zero (0) CLE credits.) Enter number of credits earned in each category: 1.00 Ethics and Professionalism Skills 6.50 Areas of Professional Practice Law Practice Management In accordance with §10(B)(2) of the Regulations, for multiple breakout sessions, provider should attach a sheet indicating the sessions attended by the attorney. CREDIT for FACULTY PARTICIPATION (Experienced attorneys only) Award credit in accordance with §3(O) of the Regulations. p Speaker Ei Panel member E Moderator O Law competition faculty Enter number of credits earned in each category: I I Ethics and Professionalism Skills Areas of Professional Practice Law Practice Management CLE PROVIDER INFORMA I ION PROVIDER ORGANIZATION ADDRESS: TELEPHONE: PROVIDER AGENT SIGNATURE: PRACTISING LAW INSTITUTE (PLI) 810 Seventh Avenue New York, NY 10019-5856 9 THE CLE PROVIDER: (check only one) "'a' has been certified as an Accredited Provider by the NYS CLE Board, or o has had this individual course accredited by the NYS CLE Board as Course U This certificate may NOTbe used to awa d CLE credit to New York attorneys under New York's Approved Jurisdiction policy. PRINT NAME: Andrew D. Ottiger 1055489 - 28918 EFTA00283288