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Page 1 of 3 Form No.: Effective Date: 22 January 2020 Rev No:Application for Approval of a Continuing Professional Development (CPD) ActivityPlease complete and return to: ( The appropriate Licensing
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The application for Dodd continuing refers to the ongoing compliance requirements for entities that are subject to regulations established under the Dodd-Frank Wall Street Reform and Consumer Protection Act.
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Entities that are regulated under the Dodd-Frank Act, including financial institutions and certain investment firms, are required to file the application for Dodd continuing.
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Information that must be reported includes financial statements, compliance with risk management standards, disclosures of derivatives transactions, and other data as specified by regulatory authorities.
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