Delaware CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Delaware. Please make your selection below of Delaware CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
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Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities
This panel will discuss common content standards between FINRA Rule 2210 and MSRB Rule G-21 and describe some key differences. Attendees will hear tips on creating compliant municipal securities communications and considerations for more complex debt instruments. Attendees will gain knowledge of how FINRA’s Fixed Income Regulation Staff works with MSRB on municipal securities matters. Topics Discussed: Comply with the common content standards of FINRA Rule 2210 and MSRB Rule G-21 an... More Info$501General Credit
"Sweat Equity" in Small Businesses and Venture Startups: The Legal and Tax Issues
When a startup or small business first launches, it is easy to issue shares (almost) tax-free to the company founders. When a shareholder or LLC member receives shares in exchange for his or her labor, or “sweat equity,” the legal and tax issues are a bit more complicated. In this fast-paced, entertaining presentation, you will learn: whether “sweat equity” workers should be treated as employees or independent contractors; the use of restricted stock, options, warrants and other equ... More Info$501General Credit
Hot Topics in FinTech
Join FINRA staff and industry practitioners as they discuss the growing area of FinTech (Financial Technology). The session includes a discussion on new and innovative ways firms are integrating fintech into their business models and the importance of a strong compliance structure to address regulatory obligations. After attending this session, you will be able to: Gain a perspective on how “FinTech” is defined by various industry stakeholders Discuss the supervisory challenges of t... More Info$501General Credit
Bitcoin: Time For Lawyers To Take A Byte
The economic impact of digital evolution is a reality of our daily lives. Over the past decade, the “Internet of Things” replaced the “Internet of Information.” Today and since the emergence of blockchain technology, we are seeing a sweeping wave of the “Internet of Value” gradually taking over the web and yielding in its wake a transformation of our economic systems deeper than the first two waves combined. Open a magazine, nowadays, and you’re bound to find an article discuss... More Info$501.1General Credits
Unfair, Deceptive, or Abusive Acts or Practices: “I’ll Know It When I See It…”
Welcome to Unfair, Deceptive, or Abusive Acts or Practices (UDAAP). UDAAP is arguably the most important regulation in the mortgage industry. UDAAP impacts every other lending regulation (marketing, fair lending, licensing & communication…) and it impacts every part of the lending cycle (advertising thru servicing closed loans.) What makes this regulation so difficult for mortgage lenders is that it is very subjective (“reasonable consumer” point of view) and is very difficult to defend agains... More Info$501.1General Credits
Ideas to Cash: Guiding Creative Clients In Monetizing Their Inventions and Other Creations
This CLE course will enable you to turn your client’s ideas into cash. Different forms of protection are described for various creative ideas, followed by steps necessary to procure/secure patents, trademarks, copyrights and trade secrets. Various types of agreements for different monetizing methods are discussed, with samples. Techniques for finding and approaching “targets” are also explained in detail. More Info$751.8General Credits