Mississippi CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Mississippi. Please make your selection below of Mississippi 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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Complex Products and Alternative Investments
This CLE will focus on the latest regulatory updates and due diligence obligations and effective practices in connection with sales of alternative investments; including: Private Placements, Online Distribution Platforms, Finders, Real Estate Investment Trusts, Opportunity Zone Funds, Regulation A+, Blind Pools and Capital Acquisition Brokers. Join FINRA staff and industry experts as they identify features and compliance risks of specific securities products and how to implement effect... More Info
$501General Credit -
Compliance and Legal Trends
Join industry leaders as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists share insights on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues. More Info
$501General Credit -
Conflicts of Interest in Capital Markets and Investment Banking
This CLE program will discuss helpful tips and tools for managing conflicts of interest in capital markets and investment banking firms. Panelists will discuss practices that raise conflict of interest concerns and how to remedy these issues. After attending this session, you will be able to: Understand how some firms identify and mitigate risks associated with conflicts of interest Apply practical compliance approaches to mitigate and monitor for conflicts of interest Know of and... More Info
$501General Credit -
Considerations and Practices for Supervising Independent Contractors
This CLE program addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance and shares effective industry practices. After attending this session, you will be able to: Understand the challenges associated with supervising independent contractors Identify effective practices for supervision and o... More Info
$501General Credit -
Consolidated Audit Trail
During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including firm obligations, deadlines and resources. After attending this session, you will be able to: Discuss upcoming key dates How to prepare and resources available More Info
$501General Credit -
Consumer Chapter 7 & 13 Bankruptcy: What Attorneys Need to Know About Conducting a Consult
This introductory CLE course provides valuable tools and tips for conducting a thorough, well-organized consumer bankruptcy consult which will assist the attorney in thoroughly analyzing the case and educating the client about the differences in Chapter 7 and 13 and why one might be better for them than the other. It highlights helpful tools and sample visual aids to keep the consult on track, maximize the information obtained from the client, and allow clients to clearly follow the an... More Info
$501General Credit -
Current Issues Under Regulation Best Interest and Form CRS
In an ongoing dialogue, regulators and industry practitioners come together to delve into a wide array of current topics and delve deep into the valuable lessons learned through their experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). This collaborative discussion explores the multifaceted aspects of these regulatory frameworks, encompassing not only effective practices implemented within firms but also the examination experiences encountered along... More Info
$501General Credit -
Current Trends and Threats in Financial Crimes
In this CLE session, Deputy Director Abbate and Under Secretary Nelson discuss the latest developments in financial crimes and illicit finance risk including new and emerging threats related to money laundering, fraud, securities fraud, cyber-crime, digital assets and sanctions. More Info
$501General Credit -
Detecting, Preventing and Investigating Fraud and Misappropriation
This CLE program provides information regarding current fraud schemes from the front line regulators. After attending this session, you will be able to: Understand emerging trends in securities fraud and identify potential threats. Identify potential red flags associated with different types of financial fraud. Know whom to contact to report potential fraud. More Info
$501General Credit -
Disclosure Innovations and Digital Marketing Compliance
This CLE lecture will educate you about FINRA’s recently published Regulatory Notice 19-31, Disclosure Innovations in Advertising and Other Communications with the Public. Industry and FINRA experts share insights into how firms can facilitate simplified and more effective disclosure in digital marketing and other advertising. The panel also covers how firms are using technology to revolutionize the way they interact with customers while staying in compliance with FINRA and SEC (Securities... More Info
$501General Credit