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Complex Products and Alternative Investments

SKU: FIN8400
Total Credits
1 - 1.2
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This CLE will focus on the latest regulatory updates and due diligence obligations and effective practices in connection with sales of alternative investments; including: Private Placements, Online Distribution Platforms, Finders, Real Estate Investment Trusts, Opportunity Zone Funds, Regulation A+, Blind Pools and Capital Acquisition Brokers.

Join FINRA staff and industry experts as they identify features and compliance risks of specific securities products and how to implement effective due diligence, training, supervision and surveillance to minimize risks. Upon completion of this CLE, you will be able to: Understand the latest regulatory developments related to alternative investments. Explain FINRA’s Private Placement rules. Discuss due diligence requirements and industry practices when recommending private placement and REIT securities. Review effective practices when vetting complex products. Assessing the features, risks and benefits of packaged products, exchange traded products, general securities, complex and alternative products. Implement training guidelines, supervision and surveillance programs. Understand regulatory expectations, examinations and enforcement trends. Understand the latest regulatory developments related to alternative investments. Discuss crowdfunding and Reg A+ challenges. Understand product features.

Lecturer Bios

Joseph E. Price, Esq.

Joseph E. Price is Senior Vice President, Corporate Financing/Advertising Regulation, at the Financial Industry Regulatory Authority. The FINRA Corporate Financing Department regulates capital-raising activities of broker-dealers; including equity, debt, REIT, closed-end fund, limited partnership offerings and private placements. The FINRA Advertising Regulation Department regulates broker-dealer sales materials, mutual fund advertisements, social media and other communications with the public. Mr. Price previously worked in various capacities at the Securities and Exchange Commission. He was an assistant general counsel and a special counsel in the Office of General Counsel and he was the Deputy Chief of the Office of Disclosure and Investment Adviser Regulation in the Division of Investment Management. Prior to working at the SEC, he was a litigator in the Bureau of Competition at the Federal Trade Commission. Mr. Price also worked as a compliance investigator at the Coffee, Sugar & Cocoa Exchange. He was an Adjunct Professor at Georgetown University Law Center from 1994 to 2002, where he taught “Current Issues in Securities Regulation” and “Disclosure under the Federal Securities Laws.” He graduated with distinction in economics from the University of Wisconsin and received his law degree from Fordham University.

Gabriela Aguero

Gabriela Aguero is Director in FINRA’s Corporate Financing Department. In her role, she oversees the Public Offering Review (POR) program. The POR group is responsible for the review of a wide array of filings and the interpretation and application of FINRA’s rules that regulate underwriting activities and conflicts of interests in public offerings. Ms. Aguero began her career at FINRA when she joined NASD in 2000. She has an MBA from the John’s Hopkins Carey Business School in addition to an undergraduate degree in Finance as well as designation as a FINRA Certified Regulatory and Compliance Professional™ (CRCP™) Program at Wharton.

Alan J. Berkeley, Esq.

Alan J. Berkeley is a corporate and securities regulatory lawyer whose practice encompasses corporate, Board and management counseling and crisis response, corporate transactions (including mergers, acquisitions, financing transactions for privately-held and public companies), regulatory and enforcement matters before the Securities and Exchange Commission and other securities regulatory bodies, and other corporate governance and compliance matters. He is a registered foreign lawyer with the Solicitors Regulation Authority in England and Wales and is registered as a foreign legal consultant in Brazil. Mr. Berkeley has more than 40 years of experience as counsel in corporate and business transactions and securities regulatory and enforcement matters. He has extensive professional association and academic activities, including many years as member of the adjunct faculty at Georgetown University and George Washington University law schools specializing in business planning and as a well-recognized speaker on professional and client education programs. Mr. Berkeley has been listed in The Best Lawyers in America in the category of Corporate Law since 2001. He has a J.D. from Georgetown University and B.S. from Cornell University.

Gary Goldsholle

Gary Goldsholle is Senior Advisor to the Director of the Division of Trading and Markets at the Securities and Exchange Commission (SEC), where he helps lead the Division’s FinTech and RegTech efforts, in areas such as cryptocurrencies, distributed ledger technologies and cybersecurity. From January 2015 until recently, Mr. Goldsholle served as Deputy Director of the Division, with responsibility for the offices of Chief Counsel, Market Supervision, and Clearance and Settlement. These offices play a critical role in the capital markets and cover a diverse range of topics, including market oversight, equity and fixed income market structure, regulation of exchanges, broker-dealers and clearing agencies, as well as legal and policy matters pertaining to broker-dealers and the operation of the securities markets. Prior to joining the SEC, Mr. Goldsholle served as General Counsel of the Municipal Securities Rulemaking Board (MSRB), where he oversaw all of its legal activities, including market regulation, professional qualifications, enforcement support and corporate governance. During his tenure as general counsel, Mr. Goldsholle was involved many high profile matters including the first-ever municipal advisor regulations, best execution and mark-up disclosure requirements, and streamlining and codifying regulations.

Previously, Gary worked for over 15 years in FINRA’s Office of General Counsel, most recently as Vice President and Associate General Counsel, with a broad portfolio of regulatory and policy matters including corporate financing, derivatives and sales practice rules. He also worked in the Office of the Chief Counsel, Division of Trading and Markets at the Commodity Futures Trading Commission (CFTC). Mr. Goldsholle began his legal career as an associate at Steptoe & Johnson LLP. Mr. Goldsholle holds a Bachelor of Science degree, cum laude, from Duke University, with majors in computer science and economics, a general course certificate from the London School of Economics and Political Science, and a law degree from the University of Chicago Law School.

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