Missouri MCLE - Finance and Banking Courses
MCLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
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On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/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
$501General Credit -
On-DemandCD/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
$501General Credit -
On-DemandCD/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
$501General Credit -
On-DemandCD/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
$501General Credit -
On-DemandCD/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
$501General Credit -
On-DemandCD/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
$501General Credit -
On-DemandCD/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
$501General Credit -
On-DemandCD/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
$501General Credit -
On-DemandCD/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
$501General Credit