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Illinois CLE - All Courses

This is a listing of CLE Courses for Illinois. Please make your selection below of Illinois CLE courses. Our courses are available on CDs, DVDs, Online, and with iOS/Android App. Click "Add" to purchase Individual CLE Courses. For more information about a particular CLE course, click on a course name.

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Ethics & Specialty
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Fraud Detection and Prevention

Attend this session to hear about recent and noteworthy fraud cases. This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the brokerage industry, provide tips to identify potential “red flags,” and discuss what to do if a fraudulent scheme is suspected. After attending this session, you will be able to: Understand emerging trends in this new COVID environment in sec...

General Credits
1
Price$50

Gamification, Social Media, and Digital Communications Perspectives

Attend this session to hear how regulatory experts are evaluating the rapidly changing world of digital communications to capture investors’ attention and influence their behavior. The panel discusses risks and benefits of gamification features on broker-dealers’ apps and websites, and also considers the effects of digital marketing, notifications and alerts, and the increased impact of social media during the pandemic and beyond.

General Credits
1
Price$50

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...

General Credits
1
Price$50

Remote Supervision: Compliance Challenges in a Remote Working World

The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all staff to remote work environments and implement remote supervisory practices. Join FINRA staff and industry panelists as they discuss challenges firms face with staff working from home during the COVID-19 pandemic. Panelists also share what they have learned from these events and how they have improved their Business Continuity P...

General Credits
1
Price$50

Privacy Law & Policy: Keeping Clients Out of Regulators’ Crosshairs

In today’s evolving patchwork of privacy laws, every consumer-facing business is under growing compliance pressure as states take aim at consumer issues through general privacy laws like California’s Consumer Privacy Act (CCPA) and enhanced state data breach laws. This session will provide a general overview of current and emerging federal and state privacy regulations. It will also provide strategies and best practices for identifying potential privacy gaps and advising clients on compliance...

General Credits
1.5
Price$75

Basics of IRA Taxation & Investment Rules

This CLE course will provide a detailed review of the basic taxation rules of all IRAs, including the Traditional IRA, Roth IRA, SEP IRA, and SIMPLE IRA and will also cover the prohibited transaction and unrelated business taxable income rules as they apply to retirement accounts. The course will explore the history of the U.S. retirement system, concept of tax deferral, as well as detail the contribution, distribution, and other related tax rules regarding each specific IRA. The cours...

General Credits
1.5
Price$75

Employment Agreements: Protection for All Involved

Employment Agreements are agreements that wed the parties, one or both being an individual, over time, sometimes for many years. As such, they are the quintessential personal service contracts, and to work, each side has to believe that such agreements both advance and protect their self interests throughout the time they remain in force. Employment Agreements should include conditions of employment, duties and responsibilities of each party, compensation, benefits, factors triggering...

General Credits
1
Price$50

Every-Day Ethics and Playing By The Rules

This lecture was designed to cover the daily ethical issues I encounter during my representation of clients accused of driving while intoxicated, criminal offenses and vehicle and traffic matters. The ethical issues discussed in this lecture seem to always arise when there are conflicting interests between my client, my license to practice law, the prosecutor, and the Court's obligation to maintain the truth seeking process. I know first-hand it can be a struggle to balance th...

Ethics Credits
1
Price$50

Litigating Successfully: Understanding Commercial Division Rules Adopted by the NY Trial Courts and More

This CLE program will explain what litigators need to know about litigating in New York State Courts under newly issued Court Rules. By Administrative Order, new Uniform Rules of Court for NY Supreme and County Courts have been adopted specifically adding selected Rules of the NYS Commercial Division. The program is presented by an experienced NYS and federal court litigator who will not only identify the new rules so important in representing your clients, but explain how the new r...

General Credits
1.25
Price$50

Representing Applicants before State Liquor Authorities and the TTB

In this course, Arielle Albert and Keven Danow explain how the “noble experiment” of prohibition resulted in the current three tier system for the manufacture, distribution and sale of beverage alcohol in the United States. They explain the various regulatory schemes adopted by states to address pre-prohibition evils, which include states that took control over the sale of alcohol, states that elected a licensing scheme and states that remained dry or partially dry. Franchise rights are...

General Credits
1.25
Price$50
National Academy of Continuing Legal Education is an Accredited CLE Provider in Illinois. To view our full accreditation details, please click here.


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