Georgia CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Georgia. Please make your selection below of Georgia 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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Litigation Support Services Performed by Forensic Accountants
Lawyers, judges, and juries often struggle with complex accounting, valuation, and business issues. Therefore, forensic accountants can provide valuable services to litigants and their attorneys. These services can range from interpretive analysis, to investigations, to damages analysis and more. In this course, attendees will learn various types of litigation support services, learn the impact of a forensic accountant on all stages of a litigation, and listen to a case study with r... More Info
$501General Credit -
Mark-Up Disclosure Requirements
This CLE focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the rule, when mark-up disclosure requirements are triggered and recent guidance on how to calculate mark-ups based on prevailing market price. Panelists share their perspectives on effective practices and helpful tips they have identified. Upon completion of this CLE program you will be able to: discuss the latest MSRB guidance concerning mark-up disclosure requirements. More Info
$501General Credit -
Market Regulation and Transparency Services Priorities: What You Need to Know
During this CLE session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs. This session will discuss: Discuss updates on market regulation and transparency priorities, including current initiatives and rulemaking FINRA panelists share thoughts on equities, options and fixed income compliance programs Include information on: Manipulative Trading Reg Notice 22-27 (TRACE) Fixed Income Fair... More Info
$501General Credit -
Market Regulation Priorities
Attend this session to hear about market regulation priorities, including current initiatives and rulemaking. This session provides updates on market regulation priorities, including current initiatives and rulemaking. FINRA panelists share thoughts on equities, options, and fixed income compliance programs. After attending this session, you will be able to: Understand FINRA Market Regulations’ initiatives, priorities, and significant matters Discuss major developments in eq... More Info
$501General Credit -
Market Structure: Current Developments and Future Trends
During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities. This session will discuss: Discuss current developments and future trends in the industry, including best execution guidance, payment for order flow issues and Transparency 605/606 A notice and comment period on Market Structure will wrap up around May – discuss notice... More Info
$501General Credit -
Market Structure: What Factors Are Driving Changes
During this session, FINRA staff and industry practitioners discuss current developments and future trends in the industry, including best execution guidance and payment for order flow issues. After attending this session, you will be able to: Understand Best Execution guidance Discuss effective practices for reviewing and documenting best execution Discuss technology available to process trades More Info
$501General Credit -
Mergers & Acquisitions in the Cannabis Industry
The Cannabis industry is arguably the fastest growing industry in the United States, if not globally. Opportunities abound both with respect to hemp and marijuana, but it’s critical to understand the landscape and nuances that are unique to the industry when considering transactions in the space. Join Brent Johnson, CEO of Hoban Law Group (a leading global law firm dedicated exclusively to the Cannabis space), as he provides a high-level overview of the Cannabis industry, conducting mergers... More Info
$501General Credit -
Mortgage Mayhem: What Attorneys Need to Know About Loan Applicant Protections
The most confusing, time consuming, stressful and infrequent transaction your clients will face is purchasing a home. Because of this, most consumers simply check-out and become overly-reliant on the loan officer to protect their interests. Consumers say, “Let the experts handle it. I’m here for the coffee.” This is a mistake. A home loan is a “zero-sum” game for the loan officer – either the loan closes or it doesn’t. There is a commission or there isn’t. As a result, some loan officers stack... More Info
$501General Credit -
Navigating the Purchase and Sale of a Financial Advisory Practice
Many attorneys service clients who are brokers and/or financial advisers in connection with various aspects of their business. In doing so, such attorneys are generally tasked with being well-versed the regulatory, contractual and litigation concerns these particular clients face. Due to the constant evolution of the financial advisory space, practices change hands by way of sale and merger on a fairly regular basis. These transactions are incredibly nuanced, subject to regulatory consideratio... More Info
$501General Credit -
New Jersey Attorney Trust And Business Accounting Fundamentals
Attorneys practicing in the State of New Jersey lawyers are required by the Court Rules and the RPCs to maintain trust and business accounts. This informative CLE course focuses on the rules and ethics of establishing the required trust and business accounts and offers practical advice on how to maintain those accounts. The course will also offer tips and strategies to avoid the pitfalls and errors that many new attorneys encounter. More Info
$501General Credit