Missouri MCLE - On-Demand Courses
MCLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
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On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Legal Risk and Regulatory Strategy: A Conversation with FINRA Senior Leaders
This CLE course, tailored for legal and compliance professionals in the financial industry, addresses key FINRA regulatory topics based on audience questions. It provides actionable insights to navigate the evolving regulatory landscape. What You Will Learn FINRA Forward Initiatives: Understand Rule Modernization, Empowering Compliance, and Cybersecurity/Fraud initiatives, and their impact on your firm. Capital Formation: Explore regulatory considerations for raising capital while ens... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Keeping Current With Fixed Income Securities
This CLE session offers attorneys a timely and in-depth overview of current legal and regulatory developments in the fixed income securities markets. Featuring staff from FINRA and the MSRB, the program will explore recent enforcement actions, evolving rule interpretations, and practical compliance guidance relevant to firms operating in this space. Attendees will gain insight into how current regulatory priorities are shaping supervision, reporting obligations, and firm conduct. Topics... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
How to Use Data to Drive Effective Oversight
As data analytics become central to regulatory compliance, legal professionals must understand how firms use data to guide surveillance and oversight. This CLE session offers attorneys a practical look at how firms—large and small—are adopting risk-based, outcome-driven approaches to compliance through data. The course will discuss firm strategies, share FINRA’s latest intelligence resources (including contributions from StratIntel and the FIU), and explore how enhanced surveillance too... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Financial Management Regulatory Developments
This CLE course provides legal professionals with a timely and in-depth review of the evolving regulatory landscape governing financial responsibility in the securities industry. Anchored in the key findings of the 2025 Regulatory Oversight Report, the session is designed to help attorneys understand both the practical and legal implications of recent and emerging developments affecting broker-dealers and financial institutions. Participants will examine core topics such as liquidity ri... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Financial Crimes: Getting Ahead of the Adversaries
As financial crimes evolve, staying ahead of emerging threats is essential. This CLE course explores recent fraud and money laundering trends impacting firms and markets, with a focus on actionable prevention and detection strategies. Key topics include: Highlights from the Annual Report’s Financial Crimes Prevention section, including investment fraud targeting retail investors, ACH fraud, AI-enabled schemes, and manipulative trading in small-cap IPOs New and emerging fraud tactics... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Effective Practices in Remote Supervision and Inspections
This CLE course explores the legal and regulatory challenges emerging from the shift toward hybrid and remote work in the financial services industry. With updates to FINRA’s supervision rules enabling Remote Supervisory Locations (RSLs) and the Remote Inspection Pilot Program (RIPP), attorneys advising broker-dealers and compliance teams must understand the evolving expectations and associated legal risks. Participants will hear directly from FINRA staff and member firms about how the... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Compliance & Legal Trends
In a financial and regulatory environment marked by rapid transformation, legal professionals play a critical role in guiding firms through evolving compliance expectations. This CLE course offers attorneys a forward-looking discussion on the emerging trends and strategic priorities shaping the securities industry—and what these developments mean for legal and compliance teams. Join industry leaders as they explore how firms are adapting to significant business, regulatory, and technolo... More Info
$501.2General Credits