Colorado CLE - Securities Law Courses
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!
Instantly Print Your CLE Certificates
-
Representing the Startup Enterprise Through the “Four Stages” of Capital Formation
Raising capital is a defining challenge for emerging businesses, and each stage of the process brings unique legal and regulatory considerations. This CLE program guides attorneys through the progression of startup financing, from early founder contributions to public offerings, with a focus on how counsel can add value and mitigate risk at every step. This Program Explores: Stage 1: Founder financing and initial capitalization Stage 2: Friends-and-family rounds and crowdfunding str... More Info
$1002General Credits -
The State Of The Art of Investment Advisor Regulations
This CLE course explores the latest developments in Investment Adviser Regulation, focusing on practical steps for investment advisers in light of the Fifth Circuit's decision to vacate the SEC's recent Private Investment Adviser regulations. We'll examine why the SEC chose not to appeal the ruling and discuss the implications. The course will also cover emerging trends and best practices in artificial intelligence, the Marketing Rule, and other recent regulatory changes. Addit... More Info
$501General Credit -
Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know
Do you refer clients to financial advisers? Lawyers need to understand the regulatory framework that distinguishes financial advisers, particularly in light of new (2020) disclosure documents (Form CRS). In this program, we will cover how financial advisers are regulated; how standards of care differ; how to recognize potential conflicts of interest that can affect the adviser-client relationship; and most importantly, how new SEC disclosure tools make your due diligence process easie... More Info
$501General Credit -
Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies
State Taxation varies across every state in the United States. Specifically at a State and Local Tax (SALT) level, every jurisdiction has its own tax code and tax treatment for various applications. For example, the way California may classify revenue from a certain company is not the same as Texas will perceive the revenue. Of course, the Supreme Court of the United States has weighed in on limitations of a state’s power to tax, citing the Commerce Clause and various other constitutional cons... More Info
$501General Credit -
Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning
An effective Asset Protection & Estate Planning Program for Business & Investment Clients should address family and legacy considerations, complete asset protection and tax optimization simultaneously. In addition, it should be easy to use, capable of expanding through time to embrace growth in your clients’ business and investment portfolios, and it should be capable of being examined in the sunlight without legal concerns. And finally, it should be fully integrated so that all of y... More Info
$1002General Credits