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Connecticut CLE - All Courses

This is a listing of Continuing Legal Education (CLE) Courses for Connecticut, CT. Please make your selection below of Connecticut CLE courses. Our courses are available on Audio CD, DVD, Online, & Smartphone. Click "Add" to add a course to your Custom Bundle. For more information about a particular course, click on a course name As an added bonus, we allow you to select courses in excess of the advertised credit amount for your selected bundle. In fact, you may add all courses available in our library at no extra charge. All of the courses you select will be available to you but we will only certify the advertised credit amount for your selected bundle.

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Ethics Credits
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Enhancing Your Product Knowledge: 2017 FINRA Annual Conference

This CLE program provides guidance on steps firms can take to comply with their due diligence obligations. Panelists discuss the features of popular complex products and their role portfolio diversification. After attending this session, you will be able to: Discuss industry trends with regards to new products. Review due diligence process when on-boarding new products. Establish product training in your own firms. Learn about new investment product development. Identify risk asso...

General Credits
1
Price$50

Hiring and Supervising Registered Representatives in the Retail Space

This CLE program will highlight best practices related to the hiring and supervision of registered representatives in the retail space. After attending this session, you will: Understand effective practices for assessing risk when considering registered representatives (RRs) for employment; Learn how to conduct background checks. Review screening techniques. Identify why compliance should be involved in the on-boarding and termination process. Learn of effective risk management c...

General Credits
1
Price$50

Hot Topics in AML

This CLE program provides guidance on suspicious activity monitoring and other hot topics in AML (anti-money laundering). There is no shortage of "hot topics" in the Anti-Money Laundering (AML) compliance. As the industry has taken a leading approach to address and combat money laundering risks, this panel will discuss current and emerging AML hot topics. After attending this session, you will be able to: Understand AML program requirements. Identify and describe FINRA’s AML initiativ...

General Credits
1
Price$50

Market Regulation Priorities: Detecting and Preventing Misconduct

This CLE program provides updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income compliance programs. After attending this session, you will be able to: Understand Market Regulations’ initiatives, priorities and significant matters. Discuss major developments in equities, fixed income and options markets surveillance. D...

General Credits
1
Price$50

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. After attending this session, you will be able to: Understand the challenges firms are facing related to OBAs and PSTs. Develop effective pr...

General Credits
1
Price$50

Outsourcing and Vendor Management: 2017 FINRA Annual Conference

While outsourcing is an activity or function that a third-party service provider performs to assist an organization, an outsourcing arrangement does not relieve firms of their ultimate responsibility for compliance with all applicable laws and security regulations. During this CLE session, FINRA staff and industry members address the use of third-party service providers and firms’ responsibility for complying with all applicable laws and security regulations. Panelists also discuss policies, p...

General Credits
1
Price$50

Hot Topics in Copyright Law

This CLE program will focus on the current state of copyright law. Listen to a star-studded panel from Frankfurt Kurnit Klein & Selz's IP Litigation Group as they present a rundown of the latest developments. Topics include: Copyright ownership of film, video and other content Defending small copyright claims Copyright ownership of graffiti and other “street” art Star Athletica and ownership of cheerleader uniform designs and other fashion executions Recent cases affecting copyrig...

Total Credits
3
Incl. 1 Ethics
Price$150

Managing Construction Risks

Property damage, personal injury, schedule delays, liens and unanticipated costs. Construction projects involve risks, and managing those risks is essential to the successful completion of every project. Join Tannenbaum Helpern construction attorneys and an industry expert for a discussion, including real-world examples, of essential tools that owners can use to anticipate, allocate, control and minimize construction risk. The discussion will cover essential contract provisions, importa...

General Credits
1.5
Price$75

Practicing Law Defensively: Professional Responsibility and Irresponsibilty

Presented by Thomas F. Liotti Esq, this CLE course is primarily directed to attorneys involved in criminal and civil litigation. Entertaining and filled with anecdotes that will surprise even the most seasoned attorneys, the course is focused on ethical violations by members of the judiciary and how understanding both the legal parameters of improper conduct and deep knowledge of the backgrounds, politics and possible agendas of the judges you stand before, the attorneys you argue against and...

Ethics Credits
3
Price$150

A Legal Guide to Social Media Advertising around the Globe

Truth in advertising becomes even more complicated when social media is thrown into the mix. In this format, what exactly constitutes advertising, and what are the rules that advertisers muse adhere to? This CLE course will offer a detailed look at advertising in the social media age and include discussions of transparency, sponsorship, endorsements, user-generated content, and affiliate marketing. The course will provide an overview of FTC guidelines and case studies describing how those gui...

General Credits
1
Price$50


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