Alabama CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Alabama. Please make your selection below of Alabama CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
CLE Courses Available Online & iOS/Android App and with Live Webinars!
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On-DemandOnline & iOS/Android App
Introduction to Structured Finance
RMBS, CMBS, CDOs, SIVs can seem like alphabet soup yet they play an integral part of the global economy and capital markets. Some will even allege that these sophisticated financial products were responsible for the credit crisis that nearly destroyed the global economy. What are these structured products, how do they work and who created them? This informative CLE course, presented by New York attorney and subject matter expert Jack Chen, explains the essential characteristics of structu... More Info
$751.25General Credits -
On-DemandOnline & iOS/Android App
What Attorneys Need to Know About Capital Markets and Ratings
Ever wonder about what a rating means or why ratings are so important in today's global economy? What role did ratings play in the run up to the Credit Crisis? This informative CLE course, presented by New York attorney and ratings expert Jack Chen, explains everything a lawyer should know about ratings and rating agencies. The course examines the regulatory framework and explains who uses ratings and why they are here to stay. Any practitioner who works with debt securities, derivatives or... More Info
$501.25General Credits -
On-DemandOnline & iOS/Android App
Collateralized Debt Obligations and Credit Default Swaps: A Guide for Lawyers
Collateralized Debt Obligations (CDOs) and Credit Default Swaps (CDS) have played and continue to play prominent roles in the global capital markets. What's the difference between a CDO and a CLO? What are TruPs CDOs? And why are they so controversial? Cut through the headlines and get a real understanding of CDOs and CDSs, how they are structured and the litigation landscape regarding these investments today. This informative CLE course, presented by New York attorney and CDO and... More Info
$1252.7General Credits -
On-DemandOnline & iOS/Android App
The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit
This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel. The panelists discuss the three lines of defense and how their firms are applying the risk model. After attending this session, you will be able to: Compare and contrast t... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Common Examination Findings and Effective Compliance Practices
This CLE program will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide guidance on taking corrective action and updating compliance procedures and practices based on lessons learned from common exam deficiencies. After attending this session, you will be able to: Discuss common findings in various regulatory areas and related supervisory deficiencies. Identify controls, procedures and processes that member firms are inco... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Outside Business Activities and Private Securities Transactions
This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effective practices regarding policies and procedures for identifying, documenting and disclosing OBAs. FINRA will also discuss the recently proposed rule changes related to OBAs and PSTs. After attending this session, you will be able to: Unde... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Social Media and Digital Communications: 2019-2020
This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you will be able to: Describe digital marketing and digital communications; Talk about instant, text and app-based messages in your firm; Discuss how to approach social media, both external and internal to your firm; Summarize how to handle video cont... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks
Join FINRA staff and industry experts as they review legal cases and enforcement actions impacting AML programs. Panelists will cover regulatory trends, potential vulnerabilities, and how you can address any pitfalls in your AML program. Upon completion of this CLE, you will be able to: Discuss recent AML enforcement actions published by FINRA, the SEC (Securities and Exchange Commission) and other regulatory agencies, criminal and governmental authorities. Discuss various methods... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Mark-Up Disclosure Requirements
This CLE focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the rule, when mark-up disclosure requirements are triggered and recent guidance on how to calculate mark-ups based on prevailing market price. Panelists share their perspectives on effective practices and helpful tips they have identified. Upon completion of this CLE program you will be able to: discuss the latest MSRB guidance concerning mark-up disclosure requirements. More Info
$501General Credit -
On-DemandOnline & iOS/Android App
How FINRA Rules Get Made, Reviewed and Updated
Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview and discuss upcoming rule changes, proposals and other regulatory initiatives. Upon completion of this CLE program you will be able to: Discuss the Retrospective Rule Review Process; Review how the advisory committees are used; Identify and under... More Info
$501General Credit