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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On-DemandCD/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
$501.2General Credits -
On-DemandCD/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
$1252.5General Credits -
On-DemandCD/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
$501.2General Credits -
On-DemandCD/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
$501.2General Credits -
Live WebinarFriday, August 23, 202412:00 PM - 1:00 PM Eastern Time (EDT)
Live Webinar: Franchise Law
A full description of this course will be coming soon. Stay tuned! More Info
$501.2General Credits -
On-DemandCD/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
$1002.4General Credits -
On-DemandCD/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
$501.2General Credits -
On-DemandCD/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
$501.4General Credits -
On-DemandCD/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
$501.2General Credits -
On-DemandCD/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
$501.2General Credits