Connecticut MCLE - All Courses

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  • Common Ethical Issues and Pitfalls

    Certain recurring ethical issues are encountered with regularity in the everyday practice of law. The nature of attorney/client privilege and confidentiality, analysis of conflict issues and the obligations of an attorney to other counsel and the fact-finding tribunal, result in frequent consultation of the rules of ethics. The course will cover the most common ethical issues confronted by attorneys, and the presenter will discuss hypotheticals posed by the live audience. More Info

    $50
    1Ethics Credit
  • Common Examination Findings and Compliance Effective Practices for Institutional Firms

    This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies. After attending this session, you will be able to: Understand the FINRA examination process and how to create effe... More Info

    $50
    1General Credit
  • 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

    $50
    1General Credit
  • Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)

    This CLE program provides guidance on common deficiencies noted during FINRA examinations of medium and large firms.. Industry practitioners discuss taking proactive compliance measures and corrective action in response to examination deficiencies and recommendations. Senior FINRA staff discuss the exam process from their perspective and provide examples of best practices. After attending this session, you will be able to: Understand the FINRA examination process and effective practice... More Info

    $50
    1General Credit
  • Common Examination Findings for Institutional Firms: 2019-2020 Update

    This CLE program will highlight core regulations and best practices related to the supervision of institutional business activities. After attending this session, you will be able to understand the types of supervisory controls firms can implement to mitigate risks common to institutional firms. Upon completion of this CLE, you will be able to: Discuss regulatory change management; Implement the debt research rule; Summarize concerns regarding conflicts clearance; Understand how to put info... More Info

    $50
    1General 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

    $50
    1General Credit
  • Common Traffic Court Cases: Do’s and Dont’s

    Practical advice on how to handle traffic matters in local criminal courts with a focus on some of the most commonly charged offenses. This CLE lecture is for those attorneys who do not typically appear in traffic court but wish to provide competent advice and/or representation. Types of cases include but are not limited to Aggravated Unlicensed Operation, Speeding, Use of Portable Electronic Devices and Reckless Driving. More Info

    $50
    1General Credit
  • Communications Compliance: Current Developments

    This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends. Panelists will also talk about the regulatory implications of complex products and services such as crypto assets and emerging technologies in the marketing compliance space. After attending this session, you... More Info

    $50
    1General Credit
  • Complex Products and Alternative Investments

    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 effect... More Info

    $50
    1General Credit
  • Compliance and Legal Trends

    Join industry leaders as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists share insights on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues. More Info

    $50
    1General Credit

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