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Florida CLE - Finance and Banking Courses

This is a listing of Finance and Banking CLE Courses for Florida. Please make your selection below of Florida CLE courses. Our courses are available on Audio CD, DVD, Online, & Smartphone. Click "Add" to purchase Individual CLE Courses. For more information about a particular CLE course, click on a course name.

Total Credits:
0
Ethics Credits
0

FINRA Regulatory Highlights

This panel will share in-depth information on issues ranging from FINRA’s senior initiative and the Securities Helpline for Senior, JOBS Act (Jumpstart Our Business Startups Act) developments including private placements, changes in fixed income regulation and the use of auto-advice by financial services firm. After attending this session, you will be able to: Discuss the potential impact and status of the Department of Labor’s Fiduciary Rule and related Prohibited Transaction Exemptio...

General Credits
1
Self-Report
Price$50

Hot Topics in Securities Law: Part 1

This securities CLE series will provide you with a high-level overview of the latest developments in this area. Covering a wide variety of topics, this series includes the following topics: Bonds: 2017 and Beyond Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus) Effective Practices for Working With Senior Investors Hot Topics in AML Suitability Considerations Cybersecurity Threats and Loss Prevention Enforcement Developments

General Credits
8.5
✓ Pre-Approved
Price$275

Hot Topics in Securities Law: Part 2

This securities CLE series will provide you with a high-level overview of the latest developments in this area. Covering a wide variety of topics, this series includes the following topics: Outsourcing and Vendor Management Detecting, Preventing, and Investigating Fraud and Misappropriation Institutional Sales and Trading Compliance Concerns Lessons Learned From Recent AML Enforcement Actions Outside Business Activities and Private Securities Transactions Social Media and Digital Communi...

General Credits
9.5
✓ Pre-Approved
Price$275

Identifying Bankruptcy Red Flags

For anyone forced to declare bankruptcy, the experience is emotionally and psychologically devastating. And while many bankruptcy clients end up in financial straits because of irresponsible behavior or faulty business decisions, there are an equal number who are simply confronted with situations they do not have the means to deal with such as illness or unemployment. Bankruptcy attorneys must be attuned to their clients states, both financial and emotional, in order to develop a productive,...

General Credits
1
Self-Report
Price$50

Protecting the Automatic Stay and Discharge Injunction

This CLE program will review the automatic stay and discharge injunction. Emphasis will be given to the intent and purpose behind them, when they arise, who is impacted, and remedies for violations.

General Credits
1
Self-Report
Price$50

Ethics for Compliance and Legal Professionals

This CLE session focuses on ethical considerations and the significant competing interests that compliance professionals and securities attorneys face on a daily basis. Practitioners discuss the roles and responsibilities of compliance professionals and securities attorneys and the nature and scope of their ethical obligations in different situations. After attending this session, you will be able to: Discover the impact of misconduct. Define unethical practices; use actual case stud...

Ethics Credits
1
Self-Report
Price$50

Lessons Learned From Recent AML Enforcement Actions

Attend this CLE program to hear a discussion on hot legal cases and enforcement actions impacting AML programs. Does your AML program meet evolving expectations and address emerging money laundering risks? Join FINRA staff and industry experts as they review hot legal cases and enforcement actions impacting AML programs. Panelists will cover critical regulatory concerns, potential vulnerabilities, and how you can address any pitfalls in your AML program. After attending this session, you...

General Credits
1
Self-Report
Price$50

Market Regulation: Examination Pilot Program and Surveillance Early Remediation Programs

This CLE session provides updates on the small firm examination pilot and early remediation programs. Join FINRA staff and industry panelists as they share thoughts on the process and approach of these programs.

General Credits
1
Self-Report
Price$50

Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)

This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of medium and large 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 e...

General Credits
1
Self-Report
Price$50

Common Examination Findings and Effective Compliance Practices (Small Firm Focus)

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...

General Credits
1
Self-Report
Price$50


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