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!

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  • Live Webinar
    Wednesday, May 1, 2024
    1:00 PM - 2:00 PM Eastern Time (EDT)

    Live Webinar: Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know

    Do you refer clients to financial advisers? Lawyers need to understand the regulatory framework that distinguishes financial advisers, particularly in light of new (2020) disclosure documents (Form CRS). In this program, we will cover how financial advisers are regulated; how standards of care differ; how to recognize potential conflicts of interest that can affect the adviser-client relationship; and most importantly, how new SEC disclosure tools make your due diligence process easie... More Info

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

    Mortgage Mayhem: What Attorneys Need to Know About Loan Applicant Protections

    The most confusing, time consuming, stressful and infrequent transaction your clients will face is purchasing a home. Because of this, most consumers simply check-out and become overly-reliant on the loan officer to protect their interests. Consumers say, “Let the experts handle it. I’m here for the coffee.” This is a mistake. A home loan is a “zero-sum” game for the loan officer – either the loan closes or it doesn’t. There is a commission or there isn’t. As a result, some loan officers stack... More Info

    $50
    1.3General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    New Jersey Attorney Trust And Business Accounting Fundamentals

    Attorneys practicing in the State of New Jersey lawyers are required by the Court Rules and the RPCs to maintain trust and business accounts. This informative CLE course focuses on the rules and ethics of establishing the required trust and business accounts and offers practical advice on how to maintain those accounts. The course will also offer tips and strategies to avoid the pitfalls and errors that many new attorneys encounter. More Info

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

    Anti-Money Laundering Compliance: It's Growing, So Make Sure Your Clients are Covered

    The passage of the Anti-Money Laundering Act (“AMLA”) brought sweeping changes to the Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) legislative regime in the United States. Parts of the AMLA are still being put into force, including coverage of entities not traditionally included, updated priorities for financial institutions, the Beneficial Ownership Registry, and others. Legal practitioners may have to address these new challenges for clients who are now being bro... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies

    State Taxation varies across every state in the United States. Specifically at a State and Local Tax (SALT) level, every jurisdiction has its own tax code and tax treatment for various applications. For example, the way California may classify revenue from a certain company is not the same as Texas will perceive the revenue. Of course, the Supreme Court of the United States has weighed in on limitations of a state’s power to tax, citing the Commerce Clause and various other constitutional cons... More Info

    $50
    1.2General Credits
  • On-Demand
    CDs, DVDs, USB Stick

    Representing the Section 1031 Tax Deferred Exchange Client

    Internal Revenue Code §1031 tax-deferred exchanges provide tremendous tax savings by allowing owners of real property to defer the capital gains normally due upon the sale of their property. This CLE program will explain how to effectively represent the needs of their clients who are contemplating an exchange. The program will discuss: The qualifications and requirements for an exchange Preparation of the sales contract, settlement statement and other closing procedures Considerati... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Offshore Versus Domestic Asset Protection, What You Need To Know

    Join our Asset Protection Attorney as he delves deep into an extensive examination of the most prevalent tools, both domestic and international, that can safeguard your clients' assets from legal disputes. This CLE session will encompass the following topics: Understanding Asset Protection and its vital role in today's increasingly litigious society. Tracing the historical evolution of the Asset Protection Industry. An exploration of the most commonly employed strategies for asset p... More Info

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

    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

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

    Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning

    An effective Asset Protection & Estate Planning Program for Business & Investment Clients should address family and legacy considerations, complete asset protection and tax optimization simultaneously. In addition, it should be easy to use, capable of expanding through time to embrace growth in your clients’ business and investment portfolios, and it should be capable of being examined in the sunlight without legal concerns. And finally, it should be fully integrated so that all of y... More Info

    $100
    2.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Commercial Pace, The New Kid On The Block: The Legal Framework For A New Form Of Commercial Real Estate Financing

    Commercial Property Assessed Clean Energy Financing (C-PACE) is one of the newest financial tools for property owners and developers in the country. Offering lower interest and longer terms with a super-priority lien, it behaves like a muni bond but can be put into a capital stack. Find out the legal ins and outs of how this is enabled, its legal structure and status, and how you can put it to work for your clients, whether they be private owners, developers, banks, or local governmen... More Info

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

    Avoiding Liability Under The FDCPA

    The material presented in this seminar is intended to provide the audience with an overview of some of the key areas of compliance regarding a third-party debt collector’s use of debt collection communications via the telephone and in writing. Recently, the collection industry has been confronted by increasing regulatory oversight and enforcement actions by the Consumer Financial Protection Bureau (“CFPB”), as well as an awaking of the Federal Trade Commission (“FTC”) and Federal Comm... More Info

    $100
    2.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

    The US federal banking regulators have jointly proposed extensive revisions to the regulatory capital requirements for [midsize and] larger US banking organizations. The revisions are lengthy and would change the requirements for credit, market, and operational risk. Some of the revisions are long-expected (e.g., re-evaluation of use of internal models), but others are novel (e.g., capital charge for operational risk) or driven in response to the recent banking crisis. Further, the rev... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    What Attorneys Need to Know About Reading and Understanding Financial Statements

    Lawyers regularly interact with business people. Business people have their own language. Phrases like EBITDA, NOPAT, Gross Profit, Operating Profit, Net Income, on a fully diluted basis, retained earnings, current versus long term assets and liabilities, Free Cash Flow. If these terms are a foreign language to you, then this course is for you. In this CLE course, you will learn how to read and understand the basic financial statements---the income statement, balance sheet, and stat... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Case Against Tipper X

    lmagine the following: lt is the morning of a normal workday for you and millions of others who live in New York City. You go to the gym for a workout and run some errands before heading to the office. Unexpectedly, two FBI agents approach you on the sidewalk, flash their badges - in public view - and begin questioning you about activity at your job. The agents begin spitting out details about your personal life - they know where you were last weekend, they know private details about your famil... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    What If the Government Doesn’t Save My Client’s Bank? Preparing For the Next Bank Crisis

    Recent crisis in the banking system has resulted in several failures and a loss of confidence among depositors. While extraordinary intervention by the government and private sector protected uninsured depositors, owners and debtholders lost everything. Further, there is no expectation that the government will even protect uninsured depositors if another bank fails. In this CLE course, a regulatory partner at a prominent law firm will take a hard look at the recent trauma in the banki... More Info

    $50
    1.2General Credits
  • On-Demand
    CDs, DVDs, USB Stick

    Fair and Equitable Housing Regulations and Legal Ethics in Real Estate

    Real Estate Attorneys and Real Estate Professionals, including Realtors and Appraisers, must exercise ethical conduct towards all parties including Sellers and Purchasers of a residential real estate transaction. Our panelists will focus on the due diligence and legal ethics that should be exercised in assisting your clients to make a well informed decision to sign a residential contract and purchase a home. Given the current events, changing mortgage interest rates and shortage of home... More Info

    $75
    1.5General Credits
  • On-Demand
    CDs, DVDs, USB Stick

    How to Handle a Securities Regulatory Investigation

    How you handle a securities regulatory investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. It is also important to understand your ethical obligations before, during, and after an investigation, as representation lines may become blurred. During this CLE, our panel of experienced practitioners will discuss: the various stages of a securities regulatory investigation the initial contact demand for documents gathering... More Info

    $50
    1.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Was the Pandemic a Short or Long Term Bankruptcy Sickness

    This course will consist of a short, general description of bankruptcy law history and a description of the different types (Chapters) available and their basic respective functions and differences. There will be a discussion of the last significant Bankruptcy Code amendments effective in 2005. The course materials will include the set of current bankruptcy Schedules and Chapter 13 form plan and explain how to complete these. Finally, the course will include a brief description of bank... More Info

    $100
    2.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    You Won! Now What? Collecting Civil Judgments Under Illinois Law

    Successfully prosecuting a civil case to judgment is great, but clients typically expect money at the end of the case. This is especially important for lawyers who work on a contingent fee basis. If the judgment debtor has no available insurance – or if the judgment in question exceeds those limits, you need to understand the mechanics of collection law, so you can finish the job, monetize the judgment and get your client (and potentially yourself) paid. This course discusses the nuts a... More Info

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

    Evaluating a Franchise for a Franchisee: What Attorneys Need to Know

    This CLE course is designed for counsel representing a franchisee in evaluating a decision to purchase a franchise, reviewing the FDD and Franchise Agreement, and Negotiating an Addendum. It will discuss some of the key considerations a franchisee will need to evaluate in making a decision to purchase a franchise and strategies for negotiating on behalf of a franchisee. More Info

    $75
    1.9General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Ask FINRA Senior Staff

    During this CLE program, FINRA senior staff provide updates on key regulatory issues. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics. More Info

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

    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

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

    Franchise Sales Compliance

    This CLE course is designed to assist legal counsel representing a franchisor in understanding how to keep the franchisor client compliant with the federal and state franchise laws. The compliance issues will be discussed in practical terms, with practical examples so that counsel can easily relay these concepts to their clients. More Info

    $100
    2.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Capital Formation: Current Regulatory Landscape and Challenges

    Attend this session to learn more about the regulatory landscape, potential challenges, and resources for firms as it relates to capital formation. This CLE program will discuss: Discuss current regulatory landscape Discuss challenges and obstacles from firm perspective Resources for firms More Info

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

    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

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

    Hot Topics in Municipal Securities and Other Fixed Income

    This CLE program covers an assortment of key considerations surrounding fixed income securities including exam priorities, common findings and enforcement actions, fixed-income rulemaking, and an update on SEC Rule 15c2-11. This CLE program will discuss: Review of recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking and common problems uncovered during Member Supervision and Market... More Info

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

    Leveraging Regulatory Technology for Your Firm

    During this CLE program, panelists discuss how RegTech is impacting the securities industry as well as related benefits, risks and regulatory considerations. The session also covers different RegTech tools available to enhance compliance efforts, such as FINRA's new Machine Readable Rulebook as well as other tools involving the use of artificial intelligence and cloud computing. This session will discuss: Considerations for using Regtech tool such as those incorporating AI for regul... More Info

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

    Market Regulation and Transparency Services Priorities: What You Need to Know

    During this CLE session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs. This session will discuss: Discuss updates on market regulation and transparency priorities, including current initiatives and rulemaking FINRA panelists share thoughts on equities, options and fixed income compliance programs Include information on: Manipulative Trading Reg Notice 22-27 (TRACE) Fixed Income Fair... More Info

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

    Market Structure: Current Developments and Future Trends

    During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities. This session will discuss: Discuss current developments and future trends in the industry, including best execution guidance, payment for order flow issues and Transparency 605/606 A notice and comment period on Market Structure will wrap up around May – discuss notice... More Info

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

    Redefining Communications Compliance for the Digital Age

    As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communications with the public. Panelists cover lessons learned from FINRA’s ”finfluencer” targeted examinations, recent enforcement activity around off-channel communications, and how practitioners are approac... More Info

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

    The Evolution of Branch Office Inspections

    Join us as we delve into a thought-provoking exploration of the invaluable lessons acquired during the transformative journey towards remote branch inspections. Our esteemed panelists will engage in an enlightening discussion, unveiling a wealth of knowledge encompassing a range of crucial topics. Amidst a rapidly evolving regulatory landscape, our distinguished speakers will provide invaluable insights into the impact of FINRA inspections and other regulatory developments. Del... More Info

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

    The Firm Perspective on Monitoring and Protecting Against Financial Crimes

    Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering. This session will discuss: Effective practices and controls for firms in monitoring, protecting against and addressing AML, cybersecurity and fraudulent activities Provide tips to identify potential “red flags” for fraud and insider tr... More Info

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

    Broker Lien Rights: What Attorneys Need to Know

    This CLE course offers an overview of commercial real estate broker lien rights in 34 states, taught by a 46 year attorney who authored or lobbied on behalf of roughly half of those statutes. Topics addressed include the scope of commission claims which are protected, legislative history, the prerequisites for the lien claim, timing, and key tips on enforcement. Hear from the author of these statutes and his 31 years of lien practice in multiple states, from drafting the lien, assertin... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    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

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

    Financial Responsibility Rules and Relevant Touchpoints

    In this informative CLE course, panelists will discuss topics involving SEC and FINRA financial responsibility rules, including regulatory obligations of introducing, intermediary, carrying and clearing firms under FINRA Rule 4311; SEA Rule 17a-4; and other topics including liquidity and fully-paid lending. More Info

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

    Private Placements: The Latest Regulatory Developments and Compliance Considerations

    Join panelists as they perform a deep dive into private placement regulatory developments including regulatory notice 23-XX as well as compliance obligations and best practices related to Reg BI, sales materials, due diligence, conflicts of interest and more. 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... More Info

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

    Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored

    This CLE course provides an in-depth overview of the US merger control process, antitrust agency priorities, forthcoming revisions to the US merger guidelines, and highlights of recent merger challenges. The course is designed to give attorneys a comprehensive understanding of the current state of antitrust regulations in the US and the role of antitrust agencies in reviewing and challenging mergers. The course will begin by exploring the fundamentals of US merger control process, inclu... More Info

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

    Preparing a Business Client to Franchise

    This CLE course is designed as a basic course to assist counsel representing a client who wants to franchise. We will discuss some practical considerations to help the client understand if franchising is the right decision, the legal obligations of a franchisor, and discuss some of the key decisions a new franchisor will need to make. More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Introduction to Franchising Law

    This CLE course is designed as a basic course for counsel with limited knowledge of franchise law and will introduce the basic legal considerations in franchising, whether you are representing a franchisor or a franchisee. The course will discuss the legal definition of a franchise, review the federal and state laws governing the franchise relationship, where to find information regarding franchise brands, the dangers of becoming an accidental franchise, and introduce some legal consi... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Following the Money: A Primer on Fraudulent Transfer Litigation for the Uninitiated

    Collecting debts can become extremely difficult and complicated if the debtor decides to play dirty. Debtors facing large lawsuits may try to make themselves judgment-proof by giving away assets to friends, family and other insiders, leaving little or nothing for the creditor to take. This CLE course examines how to combat and unwind such “fraudulent transfers” under the Uniform Fraudulent Transfer Act (“UFTA”). Additionally, this course will cover the nuts and bolts of avoidance... More Info

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

    Offshore Asset Protection: Exploring the Various Jurisdictions for Protecting your Clients' Assets

    By many standards, the U.S. is the world’s most litigious society. Learn how to put your clients in a better position to survive a lawsuit. Offshore Asset Protection is often the best way to protect assets from frivolous claims and lawsuits. This course will cover how to use a multitude of jurisdictions such as the Cook Islands, Saint Kitts and Nevis, Switzerland, and Belize to protect your client’s assets. The course will discuss offshore asset protection, its purpose and why it is ne... More Info

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

    Form CRS: Practical Considerations for Attorneys

    Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as conflicts of interest embedded in the firm's way of doing busi... More Info

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

    Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws

    This CLE program covers the basics of the intersection between “cryptocurrencies” and the federal securities and commodities laws. The title of this program comes from Samuel 2, 1:19. Why this title is apt should be obvious to anyone knowing of recent events in the world of crypto. The program discusses the allegations against Samuel Bankman-Fried, the former CEO of a group of companies known as “FTX,” by the U.S. Department of Justice, the Securities and Exchange Commission and the Com... More Info

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

    Rules and Principles of The Division of Real Estate Between Married and Unmarried Partners

    This CLE course will focus on the division of real estate among divorcing couples. We will discuss how prenuptial and midmarriage agreements can protect the spouse's interest in the property and especially if a down-payment was provided by a family member. The course will also describe the pitfalls that befall practitioners when drafting divorce or separation agreements dealing with sale and buyout of real property. Examples and practice pointers will be provided. More Info

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

    The Highs and Lows of Cannabis Land Use Regulations

    More than 155 million Americans now live in states with legal weed. Maryland and Missouri passed legalization earlier this month, meaning there are now 21 states where anyone at least 21 years old will be able to legally possess marijuana. While people will soon be able to legally purchase and use marijuana in 21 states, cannabis remains classified as a Schedule I drug on the Controlled Substances Act, the same category as heroin. That means cannabis use can still be a disqualifying factor for... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO

    From due diligence to closing there are traps and pitfalls that can be anticipated. Attend this CLE course and learn from the lawyers and bankers what they confront and worry about during the marketing and distribution of initial public offerings. The panelists will provide real life examples of challenges that could have jeopardized the success of the IPO’s. Avoid the disasters and help assure your clients’ successful underwriting. More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities

    This panel will discuss common content standards between FINRA Rule 2210 and MSRB Rule G-21 and describe some key differences. Attendees will hear tips on creating compliant municipal securities communications and considerations for more complex debt instruments. Attendees will gain knowledge of how FINRA’s Fixed Income Regulation Staff works with MSRB on municipal securities matters. Topics Discussed: Comply with the common content standards of FINRA Rule 2210 and MSRB Rule G-21 an... More Info

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

    Variable Products & Retirement Planning

    Join FINRA staff and industry practitioners as they discuss variable and retirement planning productions. The panelists also explore frequently asked questions and discuss regulatory challenges. Topics Discussed: Summarize how to create a variable product communication with respect to content and performance. Address selected topics, such as supplemental hypothetical illustrations, comparisons and complexity of contracts and investment options. Understand the legal perspective on th... More Info

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

    Advertising Compliance Bootcamp: Select Topics

    This panel will discuss examples of content violations, disclosure and performance standards of SEC Rules, standards for variable insurance product communications, guidance with respect to options communications, presentation of rankings, the core concepts of social media and digital communications, and a list of basic “do’s” and “don’ts.” By the end of the session, you will be able to: Comply with the content standards of FINRA Rule 2210. Apply the: SEC Rules to investment company... More Info

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

    Advertising Compliance: Fundamentals of FINRA Rule 2210

    This CLE course is designed for attorneys who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials. More Info

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

    Current Communications with the Public Regulatory Issues

    Join FINRA staff and industry panelists for an in-depth conversation on current advertising regulatory issues, including the new Investment Advisers Act Marketing Rule. Topics Discussed: Learn about recent communications rule changes and proposals. Understand how the new IA Marketing Rule will impact firm communications. More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Exempt Offerings

    This CLE program focuses on industry and regulatory developments related to Reg D and Reg A+ offerings. During the session, panelists discuss common concerns and recent regulatory findings. Speakers provide practical information and effective practices for firms offering these products to retail investors and discuss Regulatory Notices 20-21 and 21-26. More Info

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

    Fintech Firms: Communications Compliance Topics

    Join FINRA staff and industry panelists as they share insights on challenges and effective practices related to communications compliance for Fintech focused firms. The panel covers topical issues such as digital engagement practices, mobile applications, integrated product offerings, and crypto assets. Panelists answer questions and provide tips on the use of technology to help navigate this quickly evolving area. More Info

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

    Investment Companies Current Topics

    Join FINRA staff and industry panelists as they discuss topical advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. Panelists cover the compliance challenges associated with complex products such as single stock ETFs, crypto futures funds, non-transparent ETFs and ESG focused investments. The panel also includes discussions regarding regulatory interpretations and compliance tips. More Info

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

    Complexities of Acquiring Control: Where the Fed’s Control Rule Meets Other Regulatory Definitions

    The Federal Reserve finalized revisions to its approach for determining whether one company has control over another for purposes of the Bank Holding Company Act and the Home Owners’ Loan Act, as amended. While in many respects the final rule codified the Fed’s existing control standards, it also introduced new concepts and raised critical questions about the industry should implement the rule in practice. Over the last two years the industry has grappled with how to apply these revisi... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Secure ACT: Five Key Considerations

    This CLE course will focus on five key considerations of the SECURE Act and how this law may affect your financial plan as an attorney. Some of the topics we will cover include: The new age requirements for RMDs Distribution options for beneficiaries Age limitations on traditional IRAs Flexibility around 529 plans Changes to rules around retirement distributions for births and adoptions More Info

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

    Managing Your Client’s Series A Offering of Securities: A Step by Step Guide

    A startup or early-stage company goes through a number of informal financing rounds involving company founders, friends and family members, and local angel investors. But if the company’s business plan is successful, it will be ready for its first round of venture capital, known as the “Series A Round” or “Series A Offering”. In this fast-paced, entertaining CLE presentation, you will learn the steps involving in managing a Series A offering of securities, including: reviewi... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Legal Issues in Divorce Cases: Equitable Distribution, Spousal Maintenance and Child Support

    The CLE course will detail how New York, somewhat patterned on New Jersey equitable distribution law, instituted and applied equitable distribution to all divorces. The course will include the current applicable statutory and recent case law. The course will also include tips on how to argue for the best possible result for your client on all financial issues. As for spousal maintenance and child support, besides reviewing the current statutes and guidelines, and recent appl... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    "Sweat Equity" in Small Businesses and Venture Startups: The Legal and Tax Issues

    When a startup or small business first launches, it is easy to issue shares (almost) tax-free to the company founders. When a shareholder or LLC member receives shares in exchange for his or her labor, or “sweat equity,” the legal and tax issues are a bit more complicated. In this fast-paced, entertaining presentation, you will learn: whether “sweat equity” workers should be treated as employees or independent contractors; the use of restricted stock, options, warrants and other equ... More Info

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

    Cryptomorphing The Legal Profession: Musings From A Stacker In The Rye

    The goal of this presentation is to expose lawyers to the rabbit hole of blockchain technology and cryptocurrency, and the effects and potential effects on the legal profession. We will discuss topics ranging from the acceptance of cryptocurrency as payment for legal services to the impact of blockchain technology and cryptcurrency projects on payment systems security transactions, smart contracts, and public record filings. The presentation will be successful if at the end a p... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings

    There is much confusion regarding the many cryptocurrencies available and even more about blockchain technology; particularly in light of recent market upheavals. Global observers are keen to determine whether cryptocurrencies and the blockchain technology are taking us in a new currency direction, or whether crypto is a fading fad. The answers to these questions may lie in the legal analysis. What are the legal challenges and do the challenges doom the blockchain? Or can ou... More Info

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

    What You and Your Clients Need to Know About the USPTO’s Post-Registration Audit

    Removing “deadwood” (registrations for marks that are not in use in commerce) from the Trademark Register has become an increasingly important priority for the USPTO in recent years. A few years ago, the USPTO instituted a permanent post-registration audit program by which it requires trademark registrants who file a Declaration of Use to submit proof of use for two additional items in each class, beyond the product for which a specimen is submitted. This webinar will teach you about th... More Info

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

    Privacy and Cyber Breaches: Are You Next?

    For businesses large and small, compliance with federal, state, and foreign privacy laws and regulations has become an essential business obligation. These laws govern a company’s collection, storage, use, sharing and disposal of personally identifiable information (“PII”), protected health information (“PHI”), and payment card information (“PCI”). A company’s innocent or inadvertent failure to abide by these laws, or its failure to timely and fully disclose how it performs such tasks,... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Metaverse Law: Intro to ARVR, Issues, IP Ownerships, Monetization, Cyber Currency, and Licensing

    With apologies to the Beatles, tech is flowing out like endless rain into a paper cup, it slithers unregulated across the Metaverse. From AltCoin to Web 3.0, this course addresses the breadth of tech law in the Metaverse. The lecturer will review some of the basic terminology (in plain English!) before discussing the application of regulatory and statutory law to the Metaverse, how the Metaverse polices itself, and how the Metaverse is monetized. Specific topics will... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Uses of an Economist to Prove and Rebut Proof of Economic Damages in a Personal Injury Case or Wrongful Death Case

    This presentation is practice-oriented especially for attorneys litigating personal injury and/or death cases in any jurisdiction. It delivers practical information about whether an attorney should retain an economist, how to find an economist, a description of the factual and other information an economist will need, the work product(s) of an economist and a direct examination of an economist. The presentation will be comprehensive in scope, discussing the various components... More Info

    $100
    2.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Brokers With a Significant History of Misconduct

    This CLE program will discuss the new rules concerning brokers with significant history of misconduct. Panelists review the implications of retaining or hiring brokers with such a history. After attending this session, you will be able to: Understand changes to rule 9200 and 9556 Discuss heightened supervisory procedures for statutory disqualified associated persons Review written request requirement process through the Membership Application Group (MAP) More Info

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

    Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities

    This CLE program reviews challenges facing firms in monitoring and protecting against fraudulent activities. Join FINRA staff and industry panelists as they provide examples of effective controls their firms have put into place to address AML risks. After attending this session, you will be able to: Review AML and Fraud Protection Red Flags and Effective Practices Discuss monitoring for high-risk suspicious activities Discuss policies, procedures, controls, and education that bridg... More Info

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

    Communications Compliance: Current Developments

    This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends. Panelists will also talk about the regulatory implications of complex products and services such as crypto assets and emerging technologies in the marketing compliance space. After attending this session, you... More Info

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

    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

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

    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

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

    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

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

    Gamification, Mobile Apps and Digital Engagement

    Panelists share insights into the developing world of digital engagement practices, including gamification, in broker dealers’ mobile apps, marketing, and online platforms. Attend this session to hear how compliance and regulatory experts are responding to the rapidly developing use of data analytics to drive digital communications. Panelists discuss risks and benefits of digital engagement features and how to supervise them effectively. After attending this session, you will be... More Info

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

    Hot Topics in Municipal Securities and Other Fixed Income

    FINRA and MSRB staff discuss recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking, and common problems uncovered during Member Supervision and Market Regulation reviews. After attending this session, you will be able to: Review recent enforcement actions on 529s and muni shorts Discuss topics related to municipal securities Discuss recent and ongoing regulatory initiatives More Info

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

    Market Structure: What Factors Are Driving Changes

    During this session, FINRA staff and industry practitioners discuss current developments and future trends in the industry, including best execution guidance and payment for order flow issues. After attending this session, you will be able to: Understand Best Execution guidance Discuss effective practices for reviewing and documenting best execution Discuss technology available to process trades More Info

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

    Options Markets: Recent Regulatory Issues

    Join FINRA staff and industry panelists as they discuss regulatory issues impacting options markets. After attending this session, you will be able to: Discuss recent and ongoing regulatory initiatives Discuss supervision of options trading in customer accounts Identify effective controls, procedures, and technology processes More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Remote Supervision

    Join FINRA staff and industry panelists as they discuss what they have learned from working remotely. During the session, panelists discuss effective controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment. After attending this session, you will be able to: Identify controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment Review lessons learned and... More Info

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

    Restricted Firm Obligations: What You Need to Know

    Join FINRA staff as they discuss Rule 4111 (Restricted Firm Obligations). During the session, panelists review the new obligation and criteria for identification. After attending this session, you will be able to: Review new obligations Identify controls, procedures, and processes that member firms are incorporating to address these obligations Review identification metrics thresholds Discuss restricted deposit accounts More Info

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

    Vendor Management: Due Diligence and Oversight

    During this session FINRA staff and industry practitioners walk through various important considerations when choosing new vendors. Panelists discuss finding a technical solution that is a good fit for your firm, tips on performing an efficient due diligence review, contract issues, and advice on implementing the new software. After attending this session, you will be able to: Understand the limitations and risks of technology to find the right solution for your business needs Develop... More Info

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

    Alternative Investments and Complex Products

    This CLE program addresses developments related to alternative investments and complex products. The session emphasizes the importance of understanding product features, characteristics, and their supervisory challenges. After attending this session, you will be able to: Understand the latest regulatory developments related to alternative investments and complex products Discuss due diligence requirements and industry practices when recommending private placement and REIT securities... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Hot Topics in FinTech

    Join FINRA staff and industry practitioners as they discuss the growing area of FinTech (Financial Technology). The session includes a discussion on new and innovative ways firms are integrating fintech into their business models and the importance of a strong compliance structure to address regulatory obligations. After attending this session, you will be able to: Gain a perspective on how “FinTech” is defined by various industry stakeholders Discuss the supervisory challenges of t... More Info

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

    Senior and At-Risk Investors

    Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected. After attending this session, you will be able to: Review FINRA Rules 2165 & 4512 Discuss elder abuse prevention and protection act Review State Report and hold laws More Info

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

    Social Media and the Rise of the Finfluencers

    Human behavior has evolved as a result of the pandemic. For the financial services industry, the rapid acceleration of digital adoption has dramatically changed the way we engage with each other and our clients. Join FINRA staff and industry panelists as they discuss how social media and social media influencer are affecting the industry. Panelists discuss new developments, effective compliance practices, and how their firms are managing social media obligations. After attending t... More Info

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

    Building a Successful Solo Mergers and Acquisitions Practice

    This CLE program will focus on the tools needed to add a successful mergers and acquisition practice in your firm.. Take a step-by-step look at key issues including: what is an M&A practice, flowcharts, checklists, practice tips, software suggestions and client management hints. More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    An Introduction to Chapter 7 Bankruptcy Basics

    This is an introductory course for Chapter 7 Bankruptcy. This CLE course will cover the client intake and evaluation process, basics of preparing a petition, the importance of asset investigation, and pitfalls to avoid. The course will also cover common issues that arise during and after the bankruptcy. More Info

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

    Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards

    Cybersecurity compliance concerns have emerged as a forefront issue for both large and small enterprises. Revisions of three important standards or requirements were published recently and will have far reaching cybersecurity compliance implications. The National Institute of Standards and Technology (NIST) released Spec. Pub 800-53 (Security and Privacy Controls for Information Systems and Organizations), the Payment Card Industry Security Standards Council published PCI-DSS 4.0, and... More Info

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

    Transit Oriented Development: An Exciting Pillar of Urban Development

    Transit-oriented development involves developing an individual building or planning an entire area around public transit infrastructure such as a Metra train station. Suburban TOD in particular involves the coordination of many aspects of land use including: community outreach, suburban renewal and walkable neighborhoods, economic development, and transportation planning. Demand for TOD has grown significantly in recent years leading to more vibrant, livable, sustainable communities ce... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Reverse Mortgages: Stay In Your House For The Rest Of Your Life? Not So Fast!

    This CLE Course will discuss in detail, how Reverse Mortgage holders often times file foreclosure actions without any basis to support the actions. The course will examine the problematic determinations by the Reverse Mortgage servicers of non-occupancy by Borrowers and provide guidance for attorneys to properly litigate these actions for their clients. You will be provided valuable insight as to how to effectively and powerfully handle these cases for your clients from incepti... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Recent Important Civil Cases of The Virginia Supreme Court For All Civil Litigators

    This CLE program will review 44 written summaries of recent opinions of the Virginia Supreme Court of importance for attorneys practicing civil law in Virginia. These cases cover a wide range of topics including torts, wrongful death, civil rights, contracts, economic loss rule, family law, civil procedure, evidence, causes of action, and affirmative defenses, including immunity and resjudicata/collateral estoppel. Each summary includes an alert which all lawyers should consider from t... More Info

    $100
    2.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Bitcoin: Time For Lawyers To Take A Byte

    The economic impact of digital evolution is a reality of our daily lives. Over the past decade, the “Internet of Things” replaced the “Internet of Information.” Today and since the emergence of blockchain technology, we are seeing a sweeping wave of the “Internet of Value” gradually taking over the web and yielding in its wake a transformation of our economic systems deeper than the first two waves combined. Open a magazine, nowadays, and you’re bound to find an article discuss... More Info

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

    Unfair, Deceptive, or Abusive Acts or Practices: “I’ll Know It When I See It…”

    Welcome to Unfair, Deceptive, or Abusive Acts or Practices (UDAAP). UDAAP is arguably the most important regulation in the mortgage industry. UDAAP impacts every other lending regulation (marketing, fair lending, licensing & communication…) and it impacts every part of the lending cycle (advertising thru servicing closed loans.) What makes this regulation so difficult for mortgage lenders is that it is very subjective (“reasonable consumer” point of view) and is very difficult to defend agains... More Info

    $50
    1.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Ideas to Cash: Guiding Creative Clients In Monetizing Their Inventions and Other Creations

    This CLE course will enable you to turn your client’s ideas into cash. Different forms of protection are described for various creative ideas, followed by steps necessary to procure/secure patents, trademarks, copyrights and trade secrets. Various types of agreements for different monetizing methods are discussed, with samples. Techniques for finding and approaching “targets” are also explained in detail. More Info

    $100
    2.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Asset Protection for Cryptocurrency

    Asset Protection is in high demand in our increasingly litigious world. Cryptocurrency is well regarded as the currency of the future. Cryptocurrency is increasingly becoming a targeted asset in many lawsuits. Blockchain technology can make it easy to see the amount of cryptocurrency an individual owns. This course will teach the various strategies for protecting cryptocurrency from being lost due to a lawsuit. More Info

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

    Setting Up Your Securities Clients For Success

    Often times, legal counsel preparing Exempt Offering Documents for their clients evaluates them primarily on legal grounds, rather than on grounds associated with how the Offerings could be best articulated from an underwriting standpoint. This course, and these educational materials, are designed to offer helpful strategies on approaching securities documentation from the standpoint of underwriting standards designed to allow effectiveness and consistency in the Offering documentation... More Info

    $100
    2.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    A Search for Perfection: Fundamentals of UCC Article 9

    Article 9 of the UCC contains a dense set of technical rules relating to secured transactions, all of which can be challenging to unwind. This course is intended to provide a general survey of some the key ideas concerning Article 9, outlining concepts that attorneys should know. Taking a practical approach to exploring Article 9, delving into the fundamentals, from the definition of secured transactions to potential remedies from defaults incurred under the statute. This CLE C... More Info

    $50
    1.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    GRAT and Valuation Planning After CCA 202152018: What Practitioners Need to Know

    CCA 202152018, released on December 30, 2021 has critical impact on grantor retained annuity trusts (GRATs). The CCA addresses a common valuation challenge: what consideration should be given to a potential sale in valuing an asset? Often there is a long continuum from: no sale, to discussions with potential buyers, to a letter of intent, to a binding contract, etc. Where the business is on this continuum will affect how an appraiser evaluates the possible implications of the potenti... More Info

    $75
    1.6General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Corporate Philanthropy: Where to Start and How to Get it Right

    As Corporate Social Responsibility (“CSR”) continues to trend up, more and more companies are considering philanthropic initiatives. But there are many ways to give back, and each program comes with significant compliance challenges. How do you select and launch a program consistent with your brand -- without making an embarrassing mistake or incurring legal liability? This CLE program will provide an interactive overview of the different options and their compliance regimes. Both new... More Info

    $50
    1.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Regulation of Private and Foreign Funds in the Age of Cryptocurrency

    This CLE course is designed to provide an overview of the regulatory regime applicable to private and foreign (i.e., non-registered) investment funds and the issues raised by the explosive rise of cryptocurrencies in the past several years. The course begins with an overview of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act, the Investment Advisers Act, the Dodd-Frank Act and the SEC and CFTC rules and regulations applying this legislative fr... More Info

    $75
    1.9General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    What Every Family Law Attorney Needs To Know About Debt Collection And Bankruptcy

    In the practice of family law there are many factors to consider, including the issues facing the family as one household becomes two. The issues regarding the debts the family has, how each member of the household will be impacted by the debt and what their options are during or after the dissolution of marriage, including bankruptcy are things every Family Law practitioner should know to help their client’s make informed decisions. More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Defining Antitrust Markets in Platform Industries

    The effects of the Supreme Court’s landmark antitrust decision in Ohio v. American Express continue to reverberate. Platforms have occupied the antitrust spotlight for several years now, but litigation unpacking and applying Amex to platforms is still in its early stages. This CLE course is designed to update generalists, antitrust practitioners, and inside counsel alike on how lower courts are interpreting and applying Amex when defining antitrust markets involving platforms. The prog... More Info

    $50
    1.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Understanding Asset Protection

    Learn what tools are available to more effectively shield yourself from the effects of any lawsuit by protecting your personal wealth. The panel will discuss the following Topics: History of asset protection in the United States and abroad Understanding which assets are/are not exempt under state and federal law Identifying and understanding different types of risk How to protect real estate and other physical assets How to protect securities and other liquid assets The differe... More Info

    $75
    1.9General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    How The New Proposed Tax Bill Can Impact Your Retirement Account

    This CLE Course will provide in detail the key provisions impacting retirement accounts such as: $10 million Cap on retirement accounts if your income is above $450,000. The elimination of the Backdoor Roth IRA. If you are above the above-mentioned income limits, you can no longer convert to a Roth IRA.. The elimination of the Mega Backdoor Roth strategy. No longer can you contribute after-tax funds into your workplace plan, or convert after-tax contributions to an IRA. This applies t... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Business Interruption Coverage Post-Covid: Property and Business Interruption Claims and Forensic Accounting

    Covid-19 has impacted the economy in so many ways. Private organizations and public entities have turned to their Business Interruption insurance policy to help offset their income losses resulting from the pandemic. This course will explore the current status of insurance claims for business interruption, and explain how a claimant needs to prepare, present and support their lost income claim. Presented by two of the most experienced professionals in business interruption insu... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Can We Get Back to Business? The FDCPA and The Post-Covid World

    Now that society is starting to re-emerge from the COVID shutdowns and businesses are ramping back up (if they were not already), issues of cashflow, collections and receivables are again front of mind of business owners. What do businesses need to do regarding their receivables if they are involved in consumer transactions? Did COVID affect the ability of businesses to collect their receivables? What does the Fair Debt Collection Practices Act (FDCPA) require and what are the differenc... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Transfer Pricing for Multinationals: Practical Insights for Attorneys

    Transfer pricing is widely considered the most contentious and expensive tax issue facing multinational companies today. However, many companies struggle to navigate the competing requirements of the IRS and international tax authorities. This CLE course will provide insights into how attorneys can identify and assess client global transfer pricing issues from a practical perspective. The course explains the requirements of Section 482, Section 6662 documentation standards, and the O... More Info

    $75
    1.8General Credits
  • On-Demand
    CDs, DVDs, USB Stick

    NYS New Cannabis Law: What You Need to Know About the Business, Licensing, Regulatory and Criminal Provisions

    Join us for a discussion of the new NY Cannabis law and its impact on businesses, including obtaining financing, as well as the licensing and regulatory requirements. The criminal provisions of the new law will also be addressed by Judge Kamins. More Info

    $125
    2.6General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Increasing Revenue for Your Clients and Yourself Through Franchising

    The purpose of this CLE course is to show you how you can increase the revenue of both your client and yourself through franchising. The lecture describes the advantages of franchising, the success of franchising in the United States, the types of businesses that can be franchised, what is involved in establishing a franchise system, the registration requirements of various states, the Franchise Disclosure Document, your duties as a franchise attorney and your options as a franchise a... More Info

    $75
    1.6General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Overview of FinTech Regulation and Compliance

    A very high-level overview of some of the issues and challenges facing attorneys representing companies that are utilizing new technology to improve and automate the delivery of financial services (FinTech). Overview of the core principles and regulatory regimes in the United States governing key aspects of financial services including banking, securities, funds, money transmission, commodities, and anti-money laundering, and how these affect the operations of FinTech companies.... More Info

    $50
    1.3General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Litigation Support Services Performed by Forensic Accountants

    Lawyers, judges, and juries often struggle with complex accounting, valuation, and business issues. Therefore, forensic accountants can provide valuable services to litigants and their attorneys. These services can range from interpretive analysis, to investigations, to damages analysis and more. In this course, attendees will learn various types of litigation support services, learn the impact of a forensic accountant on all stages of a litigation, and listen to a case study with r... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Attorney Professionalism in the Capital Markets and Financial Service Industry

    This CLE course will address the role of attorneys in capital markets. The course will cover public and private offerings as well as issues related to expressing legal opinions, advising corporate boards and representing officers, directors and shareholders in regulatory investigations and government proceedings, civil proceedings and processes facilitating remedial measures. The course will also present SEC Rule 102(e) and how to manage coordination with other professionals such as CP... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Gambling: The "Secret" Addiction

    Recent studies have shown that there has been a dramatic increase in impairment due to alcoholism, drug addiction and mental health disorders among members of the legal profession. The statistics are compelling and clearly indicate that 1 out of 3 attorneys will likely have a need for substance use or mental health services at some point in their careers. What about that “other” addiction – Gambling ? The United States Supreme Court, in Murphy vs. NCAA, held that sports gamblin... More Info

    $50
    1.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Consolidated Audit Trail

    Attend this program to hear how to prepare for compliance with the 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. The panel also provides an update on the CAT National Market System (NMS) Plan. After attending this session, you will be able to: Review industry test release updates Discuss upcoming key dates Summarize how to prepare and... More Info

    $50
    1.1General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Enforcement Developments

    This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities and provide a view into the process. Panelists also provide guidance on regulatory and compliance practices. More Info

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

    Regulation Best Interest and Form CRS: Recent Observations and What to Expect

    Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying with the rules. Panelists share what they are seeing during compliance examinations, effective practices, and resources available to help firms comply with future initiatives. After attending this session, you will be able to: Discuss... More Info

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

    Doing More With Less: Challenges of a Small Firm Compliance Department

    Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfilling their duties as officers of their firms. A strong compliance program does not have to be expensive to be effective but needs commitment from all levels. Join FINRA staff and industry practitioners for a discussion on mitigating regulatory risks and determining how to more effectively allocate resources when establishing and maintaining an effecti... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    FINRA’s Examination and Risk Monitoring Program

    Attend this session to learn about the firm grouping structure and lessons learned during implementation. During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what firms can expect going forward. After attending this session, you will be able to: Understand new organizational structures in the Exam, Specialist and Risk Monitoring Programs Discuss Risk Monitoring activities Discuss what firms can... More Info

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

    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... More Info

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

    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. More Info

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

    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... More Info

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

    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... More Info

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

    An Introduction to Private Investment Funds

    An overview of the legal and practical considerations when establishing a private equity fund, real estate fund, or hedge fund. We will review the relevant sections of the Investment Company Act of 1940 (the “40 Act”), the Investment Advisers Act of 1940 (the “Advisers Act”), and the rules promulgated thereunder, including the most commonly used exceptions to registration under the 40 Act and Advisers Act. We will also review relevant provisions of the Securities Act of 1933 (the “33... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Financial Planning for Lawyers

    While everyone understands the importance of financial planning, most presentations are centered around retirement planning. However, attorneys have other concerns. Right out the gate they are burdened with significant student loan debt. They start to make good money, but are paying more in taxes. As a result, their children are less likely to qualify for financial aid so they have to weigh their own retirement against their kids’ education. Depending on their comp structure, salary may be dis... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Cryptocurrency, How to Find and Track it in Divorce Litigation

    While spouses hiding assets from divorce court is nothing new, cryptocurrencies are changing the game. Bitcoin and other cryptocurrencies can be purchased for cash, held electronically without the help of a third party, and transferred nearly anonymously. This CLE course will start by providing attorneys with a basic understanding of cryptocurrency, how it works, and how it is held by an owner. The course will then provide practical tips on how attorneys and their clients can gather more in... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Cryptocurrency Primer: What They Are, How They Work, Their History, and Their Future

    This CLE program will help you better understand cryptocurrency and the history behind such currency. Marshal Shichtman will discuss in layman’s terms, how virtual currency works, what it is, the legal and regulatory issues involved in digital tokens, how they are made, how they trade, governmental classifications, and the future of cryptocurrencies. More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Venture Capital Funds: Formation, Terms, Issues Encountered, and Other Practice Tips for Counsel

    The availability of venture capital has given many young companies the financial and advisory support needed help them grow into major corporations, while sparing them from the scrutiny and disclosure requirements demanded in the public markets. Counsel for potential and current portfolio companies would serve their clients well if they are familiar with the inner workings of venture capital funds and the regulatory and other concerns they face. This CLE course will provide an overview... More Info

    $75
    1.7General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Purchase Or Sale Of A Business, Or Part Of A Business: Documents Boot Camp

    This CLE program will drill down into the many documents that an attorney often needs to prepare or review in connection with the purchase or sale of an entire business or of an ownership interest in a business. This will include the main documents which are usually one of: (1) Asset Purchase Agreements, (2) Stock Purchase Agreements or (3) Membership Interest Purchase Agreements and the circumstance when each type of main Agreement will be employed. We will also explore the many “side... More Info

    $150
    3.1General Credits
  • On-Demand
    CDs, DVDs, USB Stick

    What You Need to Know About DeFi: Decentralized Finance and the Law

    Join NYCLA's Law and Technology Committee to learn how to prepare your practice and business, both technically and legally, to incorporate the new emerging technology trends -- both safely an efficiently -- to stay ahead of the competition. The traditional finance market is centralized. Central authorities issue the currency that powers our economy. Centralized financial organizations, e.g., banks, control our assets. The centralization of authority and practice across the financial sys... More Info

    $100
    2.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Basics of Blockchain and Cryptocurrency in Estate Planning

    On January 3, 2009, the Bitcoin network came into existence. Since then Bitcoin, and other internet currencies have grown in popularity and credibility. Cryptocurrencies can provide a secure and universal form of payment. They can be stored digitally and can operate without the use of a middleman or bank. This CLE Lecture will cover the basics of cryptocurrency, how the Blockchain works, and how Cryptocurrencies can fit into your Estate plan. More Info

    $50
    1.3General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Impact of COVID-19 on Mortgages and Foreclosures in New York State

    The financial shock from the COVID-19 pandemic threatens the housing security of millions of Americans, prompting federal, state, and local judiciaries to move quickly to ward off foreclosures. This CLE presentation will discuss how COVID-19 has affected mortgages and foreclosures in New York State and the actions that can be taken to preserve a borrower’s home. This presentation will cover: federal foreclosure moratoriums and forbearance of mortgage payments under the Coronavirus Aid... More Info

    $50
    1.4General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    SPAC IPOs: Hotter Than Ever and How They Work With Forms

    A Practitioner’s Guide to the formation, filing and public offering of the securities of a Special Purpose Acquisition Company(SPAC), with forms. This CLE course provides insights, examples and explanations of the public offering process. The course is suitable for all attorneys who represent business entities of any kind. Dan Brecher is a nationally known, widely published securities attorney who has been lead counsel in hundreds of public and private offerings, including SPACs.... More Info

    $75
    1.9General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Collections in the Age of Covid

    We are living through incredible times. No one could have suspected that we would be facing a global pandemic that virtually shut down life as we know it. All too many businesses remain closed or are opening to a fraction of capacity. Many people remain out of work or working part-time. But what can you do if a business entity or person/consumer owes you money? Such receivables could wreak havoc on your own business and its future viability. Being the managing partner of a small law fi... More Info

    $75
    1.8General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)

    One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent witnesses during these proceedings. What is FINRA really trying to accomplish. What should the witness try to achieve and how can the witness avoid dangerous pitfalls. More Info

    $50
    1.3General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Fiduciary Duty For Lawyers In The Capital Markets

    This CLE Course will address the Professional Standards for Lawyers, and other Professionals in the Capital Markets and Financial Service Industry. It will include subjects such as legal opinions, advising the Board with respect to unlawful and unethical conduct and conflicts, and representing the organization and constituents who may have adverse interests. There will be discussion of the overriding concept of Fiduciary Duty, and the Specia... More Info

    $75
    1.6General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Enforcement of Judgments in New Jersey and New York

    Success in every case ultimately comes down to a collection. Obtaining a Judgment is only half the battle. A client who obtains a Judgment in his/her favor whether by default, motion or trial will not be made whole unless steps are taken to ensure the Judgment is paid. Join attorney Jeffrey H. Ward as he discusses mechanisms for collecting Judgments that are entered in the Courts of New Jersey and New York. Mr. Ward begins with a review of how Judgments can be entered in both states. Th... More Info

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

    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

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

    Municipal Rules and 529 Plans Update

    The MSRB (Municipal Securities Rulemaking Board) substantially amended its rules for municipal dealers’ advertising and adopted a brand new standard for municipal advisors’ advertising. The MSRB also adopted formal guidance for both dealers and advisors’ use of social media. The municipal securities advertising rules have changed. This CLE Lecture will assist in learning how the regulators are applying the modernized standards including the new rule for municipal adviser firms. The... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    RegTech in Advertising and Compliance and Beyond

    RegTech (Regulatory Technology) is more than a buzzword, it is a real movement that is already having an impact on regulatory compliance. This CLE lecture will give you insight on innovative technologies being used to develop more effective, efficient, and risk-based compliance programs in the area of communications with the public. This CLE lecture will discuss how RegTech tools are helping address new challenges and regulatory implications associated with supervision, vendor management, da... More Info

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

    Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210

    This CLE course is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials while offering tips on h... More Info

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

    General Brokerage and Supervision

    This CLE program will address advertising sales practice issues applicable to general brokerage firms and their registered representatives. FINRA staff and industry practitioners will discuss advertising compliance and sales practice issues applicable to general brokerage firms and their registered representatives. Industry panelists explore advertising compliance challenges and explain how they address the advertising rules with respect to the creation and preparation of marketing ma... More Info

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

    Essentials of Corporations, Partnerships and LLC's

    This CLE program will provide an overview on the four principal business entities – Corporations, Limited Liability Companies, General Partnerships and Limited Partnerships. Business lawyers Eli Greenberg and Mark Silverstein will discuss organizing, financing and managing entities, mergers and acquisitions and option plans. Additional topics include fiduciary duties and indemnification of those managing an entity’s affairs. More Info

    $75
    1.6General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    What All Lawyers Need to Know about US Banking Law

    Bank regulatory issues can crop up in any lawyer’s practice, whether or not the lawyer represents a bank or has a client who is a counterparty to a bank on a transaction. This CLE program will provide an overview to general practitioners of the complexities of the US banking system and its applicable laws and regulations in order to familiarize them with subjects as who the relevant regulators are and what do they do, how banks are formed and what are they permitted to do, and transaction-rel... More Info

    $100
    2.3General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Investing in the Cannabis Industry 101

    The Cannabis industry is arguably the fastest growing industry in the United States, if not globally. Opportunities abound both with respect to hemp and marijuana, but it’s critical to understand the landscape and nuances that are unique to the industry when considering investment or transactions in the space. Join Brent Johnson, CEO of Hoban Law Group (a leading global law firm dedicated exclusively to the Cannabis space), as he provides a high-level overview of the Cannabis industry, inves... More Info

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

    Mergers & Acquisitions in the Cannabis Industry

    The Cannabis industry is arguably the fastest growing industry in the United States, if not globally. Opportunities abound both with respect to hemp and marijuana, but it’s critical to understand the landscape and nuances that are unique to the industry when considering transactions in the space. Join Brent Johnson, CEO of Hoban Law Group (a leading global law firm dedicated exclusively to the Cannabis space), as he provides a high-level overview of the Cannabis industry, conducting mergers... More Info

    $50
    1.3General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Effective Corporate Governance and Oversight

    Effective corporate governance and oversight is critical for any corporation to mitigate the possibility of governmental prosecutions and enforcement actions, but what exactly does this term mean and what does it require? This presentation will attempt to define the term and describe the critical parts that a board of directors, senior management and other components of an organization play in effecting an effective corporate governance and oversight structure. It will also discuss the element... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Common Examination Findings for Institutional Firms: 2019-2020 Update

    This CLE program will highlight core regulations and best practices related to the supervision of institutional business activities. After attending this session, you will be able to understand the types of supervisory controls firms can implement to mitigate risks common to institutional firms. Upon completion of this CLE, you will be able to: Discuss regulatory change management; Implement the debt research rule; Summarize concerns regarding conflicts clearance; Understand how to put info... More Info

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

    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

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

    Enforcement Initiatives, Developments and Priorities: 2019-2020 Update

    This CLE will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforcement’s decision-making. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices. Panelists will also provide information and insight on navigating enfo... More Info

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

    FINRA’s Suitability Rule and SEC’s Proposed Regulation Best Interest

    This CLE program will focus on the key issues regarding FINRA’s suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule, including a review of their differences. Panelists provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with FINRA’s suitability obligations and prepare for the SEC’s proposed Regulation Best Interest Rule. More Info

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

    High-Risk Activity Impacting Retail Investors

    Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you will be able to: Learn effective practices for identifying and mitigating risk in the hiring process. Summarize ways to identify indications of high-risk activity as part of ongoing supervision, and ways to mitigate such risk, including heightene... More Info

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

    How FINRA Rules Get Made, Reviewed and Updated

    Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview and discuss upcoming rule changes, proposals and other regulatory initiatives. Upon completion of this CLE program you will be able to: Discuss the Retrospective Rule Review Process; Review how the advisory committees are used; Identify and under... More Info

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

    Mark-Up Disclosure Requirements

    This CLE focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the rule, when mark-up disclosure requirements are triggered and recent guidance on how to calculate mark-ups based on prevailing market price. Panelists share their perspectives on effective practices and helpful tips they have identified. Upon completion of this CLE program you will be able to: discuss the latest MSRB guidance concerning mark-up disclosure requirements. More Info

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

    Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks

    Join FINRA staff and industry experts as they review legal cases and enforcement actions impacting AML programs. Panelists will cover regulatory trends, potential vulnerabilities, and how you can address any pitfalls in your AML program. Upon completion of this CLE, you will be able to: Discuss recent AML enforcement actions published by FINRA, the SEC (Securities and Exchange Commission) and other regulatory agencies, criminal and governmental authorities. Discuss various methods... More Info

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

    Emerging FinTech Trends: 2019-2020 Update

    Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are disrupting the securities industry. Topics include RegTech (regulatory technology), artificial intelligence, identity authentication tools, big data/cloud computing and other advances in FinTech. Upon completion of this CLE, you will be able to: Discuss the main areas of FinTech that are driving industry change. Represent efficient practices around reacting to the... More Info

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

    Outside Business Activities and Private Securities Transactions: 2019-2020 Update

    Outside business activities (OBAs) and private securities transactions (PSTs) are regulatory and examination priorities, as they can both result in conflicts of interest that firms must understand and, as necessary, mitigate. Join industry practitioners and FINRA staff, in this advanced session, as they cover conflicts arising from OBAs and PSTs, and keys to handling them and complying with regulatory requirements, including situation involving dually registered advisors. Panelists also discus... More Info

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

    Social Media and Digital Communications: 2019-2020

    This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you will be able to: Describe digital marketing and digital communications; Talk about instant, text and app-based messages in your firm; Discuss how to approach social media, both external and internal to your firm; Summarize how to handle video cont... More Info

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

    Regulation of Banks in the U.S.

    This CLE course focuses on the regulation of banks in the U.S. It covers the significant bank regulatory laws from the Great Depression to the 2010 Dodd Frank Act, as well as both federal and state regulatory agencies having jurisdiction over banks. It also discusses various regulatory compliance requirements, including anti-money laundering and several Dodd Frank Act requirements; trends in governmental enforcement actions against banks; the recurring cycles of de-regulation resulting in fina... More Info

    $75
    1.5General Credits
  • On-Demand
    CDs, DVDs, USB Stick

    What Lawyers Need to Know About Cryptocurrency & Blockchain

    This CLE program will explore the rapidly evolving hype and reality of blockchain technology, including recent legal developments and how to advise your clients. The following topics will be covered: data security, privacy, intellectual property and ownership, monetization of data, regulation, product liability, automated contracts, IoT advocacy, application program interfaces and ethical issues involved in data collection and sharing. Highlights of the Program include: The Internet of Th... More Info

    $150
    3.25General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Law of Bank Payments

    This CLE course will discuss various issues concerning payments made by or through banks. Covered are laws concerning check and wire transfer payments made by and to consumers and businesses. Discussed are claims concerning such payments made against banks, and various bank defenses applicable to such claims. Also discussed are laws concerning payments collected through the Federal Reserve Banks and government regulation of payments concerning internet gambling. More Info

    $150
    3General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Follow the Money: Legal Pitfalls of Investing in Cannabis

    This CLE course will provide a broad overview regarding the wealth of opportunities that exist when thinking about investing in the cannabis industry, including breakdowns and industry overviews with current trends in mergers and acquisitions. This is followed by a discussion of regulatory and other key issues for U.S. investor clients including banking, 280E, and lack of research. The course continues with information about investing in cannabis abroad with a special focus on Canada and the p... More Info

    $125
    2.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Outside Business Activities and Private Securities Transactions

    This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effective practices regarding policies and procedures for identifying, documenting and disclosing OBAs. FINRA will also discuss the recently proposed rule changes related to OBAs and PSTs. After attending this session, you will be able to: Unde... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Common Examination Findings and Effective Compliance Practices

    This CLE program will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide guidance on taking corrective action and updating compliance procedures and practices based on lessons learned from common exam deficiencies. After attending this session, you will be able to: Discuss common findings in various regulatory areas and related supervisory deficiencies. Identify controls, procedures and processes that member firms are inco... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)

    This CLE program provides guidance on common deficiencies noted during FINRA examinations of medium and large firms.. Industry practitioners discuss taking proactive compliance measures and corrective action in response to examination deficiencies and recommendations. Senior FINRA staff discuss the exam process from their perspective and provide examples of best practices. After attending this session, you will be able to: Understand the FINRA examination process and effective practice... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Effective Processes for Suspicious Activity Monitoring and Investigations

    This CLE program provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an understanding of the anti-money laundering regulations and steps firms can take to protect their organization. After attending this session, you will be able to: Understand AML program requirements. Discuss efficient practices on identifyi... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Implementing a Risk-Based Program and Identifying Red Flags

    This CLE program provides guidance on implementing an effective risk-based branch office inspection program. After attending this session, you will be able to: Understand FINRA’s Member Regulation Department’s approach to executing risk-based cycle and branch exams. Gain insight into how member firms prepare for, facilitate and learn from risk-based regulatory examinations along with effective practices from the FINRA perspective. Understand how FINRA uses technology, tools and data... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Suitability, Supervision and Surveillance

    This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with the suitability rule. They also discuss the intersection of suitability requirements with recent timely industry issues, such as senior customers, sales of complex products, IRA rollovers,... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Common Examination Findings and Compliance Effective Practices for Institutional Firms

    This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies. After attending this session, you will be able to: Understand the FINRA examination process and how to create effe... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    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

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit

    This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel. The panelists discuss the three lines of defense and how their firms are applying the risk model. After attending this session, you will be able to: Compare and contrast t... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Working Together to Protect Senior Investors

    This CLE program provides guidance on identifying and responding to issues and concerns of clients who are or will soon be seniors. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in protecting senior clients, and others who may experience signs of diminished capacity, from financial abuse. Panelists will share techniques around staff and advisor education as well as effect operational practices. After attending this session, y... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    So Your Commercial Borrower Is In Default? Protecting your Security Interest

    Banks, commercial lenders, private investors and loan holders are confronted with a number of important decisions when business owners default on their loan obligations and/or fall behind on their mortgage payments for their commercial property. New Jersey has seen an influx of foreclosures over the recent years. One way that lenders can protect their security interests in their respective properties is by instituting foreclosure proceedings to recover the properties at issue and engage in var... More Info

    $125
    2.75General Credits
  • On-Demand
    CDs, DVDs, USB Stick

    Cyan, Inc. v. Beaver Country Employees Retirement Fund: What it Means; What We Can Expect

    In a much-awaited decision on which courts and counsel have reached different conclusions for years, the United States Supreme Court held that the Securities Litigation Uniform Standards Act (“SLUSA”) does not strip state courts of jurisdiction over class action law suits brought exclusively under the Securities Act of 1933 (the “1933 Act”). The Supreme Court additionally held that SLUSA does not permit removal of class action claims brought solely under the 1933 Act from state to federal cour... More Info

    $50
    1.25General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Navigating the Purchase and Sale of a Financial Advisory Practice

    Many attorneys service clients who are brokers and/or financial advisers in connection with various aspects of their business. In doing so, such attorneys are generally tasked with being well-versed the regulatory, contractual and litigation concerns these particular clients face. Due to the constant evolution of the financial advisory space, practices change hands by way of sale and merger on a fairly regular basis. These transactions are incredibly nuanced, subject to regulatory consideratio... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Medicaid Planning and Trusts: Planning for Your Client’s Incapacity

    This informative CLE program presented by Ronald A. Fatoullah and Elizabeth Forspan will discuss the latest developments in Elder Law and Medicaid planning including eligibility rules and common techniques used to protect assets against the prohibitive cost of long term care. The course will also discuss the tax consequences of Medicaid Trusts including income taxes, estate taxes and real estate tax exemptions as well as transfers of real property, liquid assets and basis issues. More Info

    $125
    2.75General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Insurance as a Tax, Financing and Capital Solution

    Clients depend on their lawyers for creative solutions to risks they face in their day-to-day business, and to resolve roadblocks that prevent important transactions from closing. In this CLE course, Kenneth R. Pierce discusses the use of specialty insurance products to indemnify clients for potential tax liability, to facilitate the financing of alternative assets, and as a form of balance sheet capital for certain regulated companies. “Reps and warranties” insurance is now a standar... More Info

    $100
    2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Identifying Bankruptcy Red Flags

    For anyone forced to declare bankruptcy, the experience is emotionally and psychologically devastating. And while many bankruptcy clients end up in financial straits because of irresponsible behavior or faulty business decisions, there are an equal number who are simply confronted with situations they do not have the means to deal with such as illness or unemployment. Bankruptcy attorneys must be attuned to their clients states, both financial and emotional, in order to develop a productive,... More Info

    $50
    1General Credit
  • On-Demand
    CDs, DVDs, USB Stick

    Managing Rent Regulated Property: Preparing for the Sale, Purchase and Refinance of Rent Regulated Buildings

    Join RSA for a program focusing on the due diligence required before the sale, purchase or refinance of a building. The program will provide information on cost saving resources that are available to assist owners complete the process. Topics to be addressed will include review of: HPD and DOB violations Major capital improvements, individual apartment improvements Tenant lease files Required building energy upgrades Housing court and DHCR proceedings DHCR and HPD registration W... More Info

    $125
    2.75General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Heckerling Highlights, Key Tips and Insights: Advice From the Experts in Uncertain Times

    The Heckerling Institute of Estate Planning is the largest and most respected estate planning conference of the year. This one hour CLE presentation will provide an overview of many of the recent developments and planning ideas discussed at this major conference. The handout materials include a 140 page summary of many of the presentations at this program. More Info

    $75
    2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Impact of the Supreme Court’s Decision in U.S. v. Salman on the Law of Insider Trading

    The Dec 6, 2016 court ruling in US v Salman clarifies the “personal benefit” requirement and eases the government’s burden of proving insider trading cases. But how does this impact other decisions such as US v Newman and the prosecution of future insider trading cases? While the government need not show that the tipper has received something of tangible value, it raises the question of when the relationship between tipper and tippee reaches the level which would satisfy this lesser “personal... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Estate Tax Repeal Is Not a Temporary or Permanent Certainty: How to Plan Now

    The future of the gift, estate and GST tax system is uncertain. The Trump administration might repeal the estate and GST tax (although it is not clear that there is an intent to repeal the gift tax), provide for a capital gains tax on death (and perhaps a capital gains tax on gift), provide for a carryover basis at death, or some other variation of these. Many estate planners have suggested that clients put most planning on hold pending the outcome. Other advisers have suggested completing low... More Info

    $50
    1.25General Credits
  • On-Demand
    CDs, DVDs, USB Stick

    The Significance of Recent Developments in Delaware Corporate Governance Law and What Practitioners Need to Know

    Panel 1: Important Recent Cases and Upcoming Issues Gregory Markel, Cadwalader, Wickersham & Taft LLP, Chairman of the Center, will moderate an “easy chair” discussion between Myron Steele, former Chief Justice of the Delaware Supreme Court, and Jack Jacobs, former Justice of the Delaware Supreme Court. They will discuss important recent cases and upcoming issues, with a focus on the implications of the decisions and what significant issues are likely to come up in the next year. Pan... More Info

    $125
    2.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Chinese Investment in U.S. Real Estate

    The U.S. property market has become a popular destination for wealthy Chinese nationals seeking safe investment opportunities abroad. International real estate transactions implicate legal issues associated with the transfer of funds, taxes, corporate formation, reporting and disclosure requirements, national security and immigration. This CLE lecture will discuss legal strategies for addressing these issues proactively so as to avoid post-acquisition problems. More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Accommodating Non-U.S. Investors: Structuring Real Estate and Other Fund Investments to Minimize U.S. Tax Impacts

    Tannenbaum Helpern tax attorneys Michele Itri and David Schulder along with RSM US LLP's International Tax Principal Mark Strimber, will discuss how hedge funds and private equity funds can minimize tax burden for non-U.S. investors. These investors are primarily concerned with avoiding U.S. tax filing obligations and paying U.S. tax on "effectively connected income" which can result from a non-U.S. investor's investment in U.S. real estate, certain U.S. loans, U.S. operating companies and fee... More Info

    $75
    1.75General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Preparing the Estate Tax Returns and Related Post-Mortem Tax Issues

    This CLE course will introduce attorneys to the preparation of the Federal Estate Tax Return, Form 706. Because of portability, filing this return on the death of the first spouse has become very important. In fact, it might be malpractice not to file this when the first spouse dies, even if the combined estates of both spouses (at the time of the first death) is under the threshold amount for single spouse (currently $5.45 million). In addition to an overview and more detailed explanation of... More Info

    $75
    1.75General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    ABC's of Selling or Buying a Privately Owned Business

    More than 50,000 small company sale transactions take place in the United States each year. While the attorneys for these transactions may be seasoned M&A specialists, they may also be newly admitted attorneys and/or attorneys whose expertise lies in other areas of the law. This CLE presentation will focus on the practical aspects of the three major stages of the process of buying or selling a privately held business: I. Pre-Contract Considerations II. The Contract of Sale III... More Info

    $125
    2.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Bankruptcy Basics: Understanding Your Client’s Options

    This CLE course is presented by Tully Rinckey PLLC Senior Counsel Robert J. Rock, Esq. Mr. Rock will draw upon his over thirty years of experience as a bankruptcy attorney. Mr. Rock will provide guidance to attorneys on alternatives to bankruptcy, evaluating client qualifications for bankruptcy, types of bankruptcy cases, and major laws and rules practitioners should know. Mr. Rock will also provide insight into tactics to avoid potential pitfalls with clients and their bankruptcy petitions. More Info

    $50
    1.25General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Elder Law and Medicaid: An Introductory Guide

    This informative CLE program, presented by Ronald A. Fatoullah, will discuss some of the latest developments in Elder Law and Medicaid planning including eligibility rules and common techniques used to protect assets against the enormous cost of long-term care. The course will also review the new ABLE Act (Achieving a Better Life Experience Act), NY’s CARE Act (Caregiver Advise, Record and Enable Act) as well as the Department of Labor’s proposed rule that would require financial advis... More Info

    $125
    2.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Raising Capital in the Internet Age: The Current State of Crowdfunding

    The laws governing fundraising over the Internet are changing all the time, and new SEC rules recently took effect. On October 30 2015, the SEC issued final regulations to implement Title III of the JOBS Act. Regulation CF will permit a person or company to offer securities over the Internet for up to $1 million in a 12 month period. Regulation CF now joins two prior regulations implementing the JOBS Act: the regulations permitting Internet equity offerings only to accredited investors (a new... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Banking Law for the General Practitioner

    No matter your practice specialty, banking law issues can arise from time to time. This topical CLE program will provide a general survey of US banking law for the general practitioner to familiarize lawyers on the complex US banking system and introduce people to how banks are formed, applicable laws and regulations, permissible activities and latest banking reform efforts. The materials also serve as a basic banking legal resource for the attendee. More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Family Offices: A to Z About Acting as Legal Counsel for a Family Office

    Family offices and ultra high-net-worth families have many complex legal issues that need to be met by competent and knowledgeable attorneys. In addition to the legal needs of multigenerational families of wealth, the creation of fast-growing companies in the technology sector and other industries has led to a new class of wealth holders who need qualified legal advisors. Attorneys serving these families are called on to find unique legal solutions to complex issues, and therefore are b... More Info

    $100
    2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    CFPB Formation, Powers and Enforcement

    The collapse of the real estate industry and the subsequent financial collapse of 2008 led to sweeping changes. One of these was the creation of the Consumer Financial Protection Bureau (CFPB) under the Dodd-Frank Street Reform & Consumer Protection Act of 2010. A new and independent regulator, the CFPB was designed to oversee federal consumer protection laws. The mission of the CFPB, the various statutes it regulates and how it evolved will all be discussed in this comprehensive CLE course. T... More Info

    $50
    1.25General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Closing Disclosure Under TRID

    The Real Estate Settlement Procedures Act (RESPA) and the Truth in Lending Act (TILA) were both created as protective measures that provide disclosures to eliminate abusive practices. The longstanding congressional goal to integrate the two in order to avoid overlap, inconsistencies and discrepancies, came to the fore with the creation of the Consumer Financial Protection Bureau (CFPB) which was charged with proposing regulation to combine RESPA and TILA with the hope that a well-informed cons... More Info

    $50
    1.25General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    UCC Insurance & Mezzanine Financing: Pitfalls of Perfection and Priority

    Most commercial lenders require their loans to be secured by all the personal property of their borrower. Article 9 as adopted, wholly governs this process. Article 9 is complicated and comprehensive. This CLE course teaches the basics of how to properly secure a loan. In addition, this course teaches the basics of the UCCPlus Policy of Insurance for secured personal property loans. Finally the course explains the basic structure and dynamics of a mezzanine loan transaction. More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Home Sweet Lis Pendens: Defending Residential Foreclosures in Illinois

    Defending a foreclosure requires careful planning, execution and above all, solid reasoning. Without cause, a foreclosure defense will never succeed. This CLE course will provide an overview of defending a residential foreclosure in Illinois including the necessary factors required to successfully mount a foreclosure defense. The course will explain the progress of typical defenses and what to expect as well as strategies for navigating the process. The methods of service, applicable m... More Info

    $75
    1.75General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    U.S. v. Newman: The Changing Landscape for Insider Trading Liability

    The recent decision in U.S. v Newman, a criminal insider trading case against two portfolio managers, has provided much-needed clarity as to the elements of “tipper” and “tippee” liability, including what constitutes the “personal benefit” a tipper must receive to be liable for tipping information and, more importantly, what level of knowledge someone must have when he or she receives information which may have been improperly tipped. The clarity offered by the Newman case is helpful, but the... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Nuts, Bolts and New Developments in Land Use Practice in New York City

    Designed for both the seasoned land use professional and those who are new to land use practice in New York City, this CLE seminar will review the basics in New York City land use practice as well as very recent developments with emphasis upon applications for grants by the City Planning Commission and City Council. The program will examine the paths to development under the New York City Zoning Resolution, including development by right as well as the utilization of zoning text amendments, z... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Key Insurance Coverage Considerations for Private Equity, Hedge Funds, Broker-Dealers and Investment Advisers

    The investment management industry is under greater regulatory scrutiny than ever before. Combined with the threat of cyber breaches and an increase in investor activism, it is imperative for funds, broker-dealers and investment advisers to carefully review their insurance coverage and evaluate its adequacy in the current climate. Through interactive panel discussions, this CLE course will review key coverage issues and explain the various policies and the claims and activities covered by each... More Info

    $50
    1.25General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Fannie Mae and FHA Condominium Regulation and Policy

    This CLE course will explore the relevant guidelines and legal requirements that regulate the availability of obtaining end-loan financing for condominium and cooperative developments which attorneys are relied upon by developers for advice and guidance. Starting with a brief discussion of the history and market trends that led to the current regulatory environment, the course will then explore the currently available financing options and methods for obtaining approval from Fannie Mae, the FH... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Collateralized Debt Obligations and Credit Default Swaps: A Guide for Lawyers

    Collateralized Debt Obligations (CDOs) and Credit Default Swaps (CDS) have played and continue to play prominent roles in the global capital markets. What's the difference between a CDO and a CLO? What are TruPs CDOs? And why are they so controversial? Cut through the headlines and get a real understanding of CDOs and CDSs, how they are structured and the litigation landscape regarding these investments today. This informative CLE course, presented by New York attorney and CDO and... More Info

    $125
    3.25General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    New Rule 506 and Equity Crowdsourcing: New Opportunities with a Cost

    With the passage of the Jumpstart Our Business Startups Act (“JOBS Act”), securities issuers of all sizes are bound by new rules and regulations which also create new opportunities for fundraising within an evolving compliance regime. The new rules started to take effect in July 2013, when the Securities and Exchange Commission adopted a private offering exemption under which issuers and their agents are permitted to use general advertising and general solicitation to find investors. These new... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    What Attorneys Need to Know About Capital Markets and Ratings

    Ever wonder about what a rating means or why ratings are so important in today's global economy? What role did ratings play in the run up to the Credit Crisis? This informative CLE course, presented by New York attorney and ratings expert Jack Chen, explains everything a lawyer should know about ratings and rating agencies. The course examines the regulatory framework and explains who uses ratings and why they are here to stay. Any practitioner who works with debt securities, derivatives or... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Introduction to Structured Finance

    RMBS, CMBS, CDOs, SIVs can seem like alphabet soup yet they play an integral part of the global economy and capital markets. Some will even allege that these sophisticated financial products were responsible for the credit crisis that nearly destroyed the global economy. What are these structured products, how do they work and who created them? This informative CLE course, presented by New York attorney and subject matter expert Jack Chen, explains the essential characteristics of structu... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Non-U.S. Bank Operations in the United States

    This CLE course will offer an overview of how foreign banks operate in the United States. The course will offer a comprehensive introduction and explain the process for entry, the activities and powers of these entities, issues related to regulation and enforcement and exiting. The course will also review the changes in how these entities operate as a result of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act. More Info

    $50
    1.25General Credits
  • On-Demand
    CDs, DVDs, USB Stick

    Saving the Distressed Homeowner: A View From the Homeowner’s and Bank’s Side

    Since this program was first presented at NYCLA in 2009, the law relating to mortgage foreclosures and legal ways for distressed homeowner to save their investments has been evolving. The rules of the game for both homeowners and banks have changed, and the chances of reaching a settlement or obtaining relief from the courts have improved. More Info

    $125
    3General Credits
  • On-Demand
    CDs, DVDs, USB Stick

    Swiss Banks, Smuggling and Other Asset Recovery Issues

    In its 2007 National Money Laundering Strategy report, the U.S. government estimated that as much as $36 billion annually from just the former Soviet Union, was being secretly transferred through U.S. bank accounts and U.S. shell companies. Besides using U.S. bank accounts and shell companies, kleptocrats, Ponzi schemers, divorcing spouses, etc., can of course conceal assets by parking them in Swiss or other foreign bank accounts. This program analyzes how bank secrecy laws, multiple jurisdic... More Info

    $125
    3General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    A Guide to Ethical Billing Practices and Retainer Agreements

    Attorney client relationships are based on many factors, but underlying it all is a business transaction. And like all business transactions, payment for services rendered is an essential factor. But as billing systems and retainer agreements have become more complicated, they have also come under greater scrutiny. It has become far more common for disciplinary authorities to inspect these agreements and incur significant penalties for those who violate the rules. This informative CLE course,... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Bank Regulatory Basics for the Non Banking Lawyer

    Banks, unlike other business corporations, are the creations of federal and state law. As such, the regulations that dictate banking are unlike those of corporations and knowledge of one does not constitute knowledge of the other. This CLE course, presented by esteemed attorney Kathleen Scott is designed specifically for attorneys who do not specialize in banking. The course will explain what banks do, and will review the various regulatory agencies, relevant statutes, and major legislation, a... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Accounting Principles for Attorneys: What Every Lawyer Needs to Know

    Lawyers tend to be persuasive, argumentative and polished. But when it comes to the rules of accounting and taxation, even the best arguments will fall short in the face of steadfast rules and principles. This CLE course will explain the basic accounting principles every lawyer must know from the organizations that set the rules and standards to arranging a corporate capital structure. The course will explain stockholder equity, liabilities, long term investments, funds and assets, how t... More Info

    $75
    1.5General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    US Tax Benefits of Exporting: An Attorneys' Guide to IC-DISC

    With an ever stricter and more complicated tax code, there seem to be fewer and fewer opportunities to make the tax system work for you. But as every good attorney knows, there are still areas where the tax benefits actually outweigh the costs. Export taxes are the perfect example and as opposed to cracking down, recent updates to the law have established the IRS as a staunch supporter of exporters from the US. This CLE course, presented by esteemed tax attorney Richard S. Lehman, pres... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Advantages of Bankruptcy for Corporations and Investors

    Today’s fiscal crisis has made the potential for bankruptcy a shocking reality for many. Few corporations or individuals are prepared for the complexities and procedural issues the process entails. This informative CLE course will outline the various benefits to corporations, investors and debtors in filing for Chapter 11. The course will also explain different types of bankruptcies and explain how to reclassify secured debt into unsecured debt, the process for the free and clear sale of asset... More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Introduction to the Fair Debt Collection Practice Act (FDCPA)

    This CLE course offers a thorough introduction to the Fair Debt Collection Act (FDCPA). Presented by Harvey Rephen, who specializes in consumer protection from abusive and illegal debt collection, this fascinating and timely CLE course includes a comprehensive overview of the FDCPA and an explanation of the various restrictions placed on debt collectors. The course also details the parameters of communication with debtors and third parties, prohibited practices, and civil liabilities with rega... More Info

    $75
    1.5General Credits

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