Iowa CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Iowa. Please make your selection below of Iowa 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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Mitigating Impacts of Fraud and Scams Targeting Customers
As fraud schemes become more complex, legal professionals play a vital role in protecting investors and guiding firms through each stage of a fraud event. This CLE session offers a practical look at the full lifecycle of a fraud scheme—from investor targeting to post-incident recovery—and outlines legal strategies for effective response and prevention. This CLE course will cover how to identify common fraud tactics, engage with victims and outside parties, manage legal risks during a fr... More Info
$501General Credit -
Communication Supervision Trends and Effective Practices
This CLE course offers a comprehensive exploration of critical issues in communications supervision, with a focus on emerging trends in off-channel communications and social media. Join industry experts and regulatory professionals as they provide practical insights into the latest supervisory challenges, share key examination findings, and discuss strategies for enhancing compliance programs. Key Topics Include: Off-Channel Communications: Examination findings and best practices for... More Info
$350.75General Credit -
Filing Requirements and Due Diligence Obligations for Public Offerings and Private Placements
Join FINRA staff and industry experts for an in-depth discussion on the regulatory landscape of registered and unregistered offerings. This CLE course covers essential filing requirements, due diligence practices, and conflict-of-interest management strategies for legal professionals. Key Topics: Filing requirements for both registered and unregistered offerings Due diligence on issuers and investors for unregistered offerings Key considerations for registered offerings, including... More Info
$350.75General Credit