Missouri MCLE - Finance and Banking Courses

This is a listing of Finance and Banking CLE Courses for Missouri. Please make your selection below of Missouri 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.

MCLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!

Course Media Options

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  • Live Webinar
    Friday, August 23, 2024
    12:00 PM - 1:00 PM Eastern Time (EDT)

    Live Webinar: Franchise Law

    A full description of this course will be coming soon. Stay tuned! More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Silicon Valley Bank: Do Its Outside Directors Share in the Blame for Its Failure?

    This riveting CLE course reviews the well-publicized failure of the high-flying Silicon Valley Bank. This bank ran out of money as a result of a quick, massive run on the bank—depositors sought their money back—immediately after the public disclosure of serious financial problems. The demise of this Bank—with $209 billion in assets, its failure was the second biggest in U.S. history—received immediate widespread analysis and attention, much of which has been focused on the quality of... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    FINRA's Disciplinary Hearing Process

    Hear from FINRA Enforcement counsel, defense counsel, and a hearing panelist as they broaden awareness about FINRA's disciplinary hearing process and highlight distinctions between self-driven hearings and administrative law judge hearings. This CLE course will discuss: The differences between FINRA hearings versus hearings by administrative law judges; The conflicts clearance process for panelists and hearing officers; The full lifecycle of a case from the pre-complaint phase throu... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Latest in Private Placement Sales Oversight

    Learn about regulatory developments, compliance obligations and effective compliance practices related to the sales of private placements, including relevant topics such as Regulation Best Interest, communications, due diligence and conflicts of interest. This session will discuss: Review regulatory developments, compliance obligations and effective compliance practices related to private placements, including discussion about Reg BI, Communications, Due Diligence and Conflicts of I... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Developments in Remote Supervision

    This CLE course will explore the latest remote supervision developments including the remote inspection pilot program, amendments to supervision rules to cover Residential Supervisory Locations and risk-based supervision best practices. This session will discuss: Sunsetting of current COVID relief, and the implementation of Rules 3110.18 and 3110.19 How to functionally report residential locations and RSLs in Firm Gateway Remote supervision best practices and considerations FAQs fo... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Fixed Income Securities Regulatory Outlook

    This CLE session addresses the latest regulatory focuses related to both fixed income and municipal securities, including Time of Trade disclosures, SEA Rule 15c2-11, and considerations firms should keep in mind with respect to exam priorities, findings, and enforcement actions. This session will discuss: Updates to SEA Rule 15c2-11 Time of Trade Disclosures, including Municipal Fund Securities and Market Discount Transaction Reporting Municipal short closeouts/ possession and co... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Modernizing Off-Channel Communications Supervision

    Join panelists as they discuss observations from thematic reviews of off-channel communications such as text and social media platforms and effective techniques firms are using to provide oversight of their firms’ communications. This session will discuss: Communications Landscape Rule Requirements--Books and Records, Communications with the Public, and Supervision SEC and FINRA Enforcement Actions Observations from Thematic Reviews of Off-Channel Communications OSE-Facilitated Comm... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Promoting Market Integrity: FINRA’s Role in Market Structure

    Hear regulatory and industry perspectives on FINRA’s role in promoting market integrity and on the new and evolving rules such as current market structure proposals, securities lending and how transparency initiatives are shaping the market. This CLE discusses: New and emerging rules SEC market structure proposals, securities lending, and other transparency initiatives More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

    This CLE course dives into factors firms should consider when outsourcing activities or functions to third-party providers. Hear from panelists as they discuss how to mitigate vendor risk with strong technology governance programs that encompass the lifecycle of vendor engagement, from onboarding, performing ongoing due diligence, responding to events, and offboarding. This session will discuss: Vendor Management and Due Diligence Regulatory Notice 21-29 (FINRA Reminds Firms of their... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Progression of Regulation Best Interest and Form CRS

    During this CLE session, panelists discuss recent observations on firm adherence to Regulation Best Interest and Form CRS and share guidance on Reasonably Available Alternatives, the Care Obligation, and Conflicts of Interest. This session will discuss: Actions: ­ Recent SEC and FINRA findings in Reg BI and Form CRS Interpretation, guidance and best practices: ­ Recent SEC and FINRA findings in Reg BI and Form CRS ­ Reg Notice 23-20 ­ Form CRS FAQs ­ Reasonably Available Alter... More Info

    $50
    1.2General Credits

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