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Alaska CLE - Finance and Banking Courses

This is a listing of Finance and Banking CLE Courses for Alaska. Please make your selection below of Alaska CLE courses. Our courses are available on CDs, DVDs, Online & Mobile App. Click "Add" to purchase Individual CLE Courses. For more information about a particular CLE course, click on a course name.

Finance and Banking Courses

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Ethics Credits
0

Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)

One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent witnesses during these proceedings. What is FINRA really trying to accomplish. What should the witness try to achieve and how can the witness avoid dangerous pitfalls.

General Credits
1
Price$50

Fiduciary Duty For Lawyers In The Capital Markets

This CLE Course will address the Professional Standards for Lawyers, and other Professionals in the Capital Markets and Financial Service Industry. It will include subjects such as legal opinions, advising the Board with respect to unlawful and unethical conduct and conflicts, and representing the organization and constituents who may have adverse interests. There will be discussion of the overriding concept of Fiduciary Duty, and the Specia...

Ethics Credits
1.25
Price$50

Enforcement of Judgments in New Jersey and New York

Success in every case ultimately comes down to a collection. Obtaining a Judgment is only half the battle. A client who obtains a Judgment in his/her favor whether by default, motion or trial will not be made whole unless steps are taken to ensure the Judgment is paid. Join attorney Jeffrey H. Ward as he discusses mechanisms for collecting Judgments that are entered in the Courts of New Jersey and New York. Mr. Ward begins with a review of how Judgments can be entered in both states. Th...

General Credits
1
Price$50

Disclosure Innovations and Digital Marketing Compliance

This CLE lecture will educate you about FINRA’s recently published Regulatory Notice 19-31, Disclosure Innovations in Advertising and Other Communications with the Public. Industry and FINRA experts share insights into how firms can facilitate simplified and more effective disclosure in digital marketing and other advertising. The panel also covers how firms are using technology to revolutionize the way they interact with customers while staying in compliance with FINRA and SEC (Securities...

General Credits
1
Price$50

Municipal Rules and 529 Plans Update

Effective August 23, 2019 the MSRB (Municipal Securities Rulemaking Board) substantially amended its rules for municipal dealers’ advertising and adopted a brand new standard for municipal advisors’ advertising. The MSRB also adopted formal guidance for both dealers and advisors’ use of social media. The municipal securities advertising rules have changed. This CLE Lecture will assist in learning how the regulators are applying the modernized standards including the new rule for mun...

General Credits
0.75
Price$50

RegTech in Advertising and Compliance and Beyond

RegTech (Regulatory Technology) is more than a buzzword, it is a real movement that is already having an impact on regulatory compliance. This CLE lecture will give you insight on innovative technologies being used to develop more effective, efficient, and risk-based compliance programs in the area of communications with the public. This CLE lecture will discuss how RegTech tools are helping address new challenges and regulatory implications associated with supervision, vendor management, da...

General Credits
1
Price$50

Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210

This CLE course is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials while offering tips on h...

General Credits
1
Price$50

General Brokerage and Supervision

This CLE program will address advertising sales practice issues applicable to general brokerage firms and their registered representatives. FINRA staff and industry practitioners will discuss advertising compliance and sales practice issues applicable to general brokerage firms and their registered representatives. Industry panelists explore advertising compliance challenges and explain how they address the advertising rules with respect to the creation and preparation of marketing ma...

General Credits
1
Price$50

Regulation Best Interest and Current Developments

This CLE program will discuss recent rule changes made in response to the FAIR Act, recent regulatory issues raised by communications about digital assets and customer transaction accounts, a summary of Regulation Best Interest, and advertising issues that Reg BI raises. Topics Discussed: Discuss revisions made to FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analyst and Research Reports) in response to the Fair Access to Investment Research Act of 2017 (FAIR Act...

General Credits
1
Price$50

Essentials of Corporations, Partnerships and LLC's

This CLE program will provide an overview on the four principal business entities – Corporations, Limited Liability Companies, General Partnerships and Limited Partnerships. Business lawyers Eli Greenberg and Mark Silverstein will discuss organizing, financing and managing entities, mergers and acquisitions and option plans. Additional topics include fiduciary duties and indemnification of those managing an entity’s affairs.

General Credits
1.25
Price$50
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