Illinois MCLE - All Courses
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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 -
Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks
Join FINRA staff and industry experts as they review legal cases and enforcement actions impacting AML programs. Panelists will cover regulatory trends, potential vulnerabilities, and how you can address any pitfalls in your AML program. Upon completion of this CLE, you will be able to: Discuss recent AML enforcement actions published by FINRA, the SEC (Securities and Exchange Commission) and other regulatory agencies, criminal and governmental authorities. Discuss various methods... More Info
$501General Credit -
Emerging FinTech Trends: 2019-2020 Update
Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are disrupting the securities industry. Topics include RegTech (regulatory technology), artificial intelligence, identity authentication tools, big data/cloud computing and other advances in FinTech. Upon completion of this CLE, you will be able to: Discuss the main areas of FinTech that are driving industry change. Represent efficient practices around reacting to the... More Info
$501General Credit -
Outside Business Activities and Private Securities Transactions: 2019-2020 Update
Outside business activities (OBAs) and private securities transactions (PSTs) are regulatory and examination priorities, as they can both result in conflicts of interest that firms must understand and, as necessary, mitigate. Join industry practitioners and FINRA staff, in this advanced session, as they cover conflicts arising from OBAs and PSTs, and keys to handling them and complying with regulatory requirements, including situation involving dually registered advisors. Panelists also discus... More Info
$501General Credit -
Social Media and Digital Communications: 2019-2020
This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you will be able to: Describe digital marketing and digital communications; Talk about instant, text and app-based messages in your firm; Discuss how to approach social media, both external and internal to your firm; Summarize how to handle video cont... More Info
$501General Credit -
Sexual Misconduct on Campus: College Discipline & the Title IX Defense
Join attorney Scott Limmer as he explains the provisions of Title IX of the Education Amendments Act of 1972, the disciplinary processes colleges use to investigate complaints of sexual misconduct and the rights of the parties involved. More Info
$501General Credit -
Adam Walsh Act Cases
On July 27, 2006 President George W. Bush enacted the Adam Walsh Child Protection and Safety Act. This law was meant to protect children from sexual exploitation in violent crimes, prevent child abuse and child pornography, and to promote Internet safety. However, the act also amended INA Section 204 and effectively prohibited US citizens and lawful permanent resident aliens who have been convicted of any “specific crime against a minor” from filing any family-based immigrant petition on behal... More Info
$501.25General Credits -
Spousal Abuse Petitions for I-360 and I-751 Cases
There are specific criteria and considerations in psychosocial evaluations for spousal abuse cases, specifically when handling immigration petitions. Here, attorney Mark Silver discusses how such cases are evaluated from a clinical perspective with the consideration for the client's immigration petition. He examines the cycles of abuse and the challenges the victim faces in the context of their marriage to an American citizen, as well as the major types of abuse and characteristics of abusers.... More Info
$501.25General Credits -
Artificial Intelligence (AI) and the Legal Profession
Artificial Intelligence (“AI”) applications seem to be in use everywhere, transforming vital aspects of the economy, our society, and even the courts and the way we practice law. Algorithms and other AI applications influence what we see, hear, and often think. Yet adopting AI also raises ethical and legal risks for those sectors of the community using it. Our panel of experts will discuss how Ai is impacting our lives now and in the future, as well as examine how the technology will in... More Info
$1002Total Credits1 Ethics -
Business Divorces: What to Know and Do When a Partnership Ends
In a business divorce, one or more owners of a privately held business determine to legally separate their interests through a buy-out or dissolution of the existing business. In this CLE lecture, attorney Michael Firestone will discuss the processes, strategic considerations and key legal concepts involved in representing a client going through a business divorce, as well as litigation tactics which business owners can use to advance their positions. More Info
$501General Credit