Live Chat with a CLE Manager
Continuing Legal Education courses for Attorneys
You are viewing courses for Missouri. Select a Different State.
View MO Accreditation Info

Missouri CLE - Securities Courses

This is a listing of Securities CLE Courses for Missouri. Please make your selection below of Missouri CLE courses. Our courses are available on Audio CD, DVD, Online, & Smartphone. Click "Add" to purchase Individual CLE Courses. For more information about a particular CLE course, click on a course name.

Securities Courses

Sort By:CreditsTitle
Total Credits:
0
Ethics Credits
0

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 on March 20, 2018 that the Securities Litigation Uniform Standards Act of 1998 (“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...

General Credits
1.25
Price$50

Cryptocurrency, Blockchain and Smart Contracts: An Introduction

“Virtual currency,” “blockchain,” “smart contracts” – these words and phrases seem to be everywhere these days but do people really know what they mean. This CLE course will explain, in user-friendly terms, what virtual currency is, how it works and the legal and regulatory issues surrounding its use. The course also will explain and discuss the possible uses of the blockchain/distributed ledger technology beyond recording virtual currency transactions and the possible legal and regulatory i...

General Credits
2
Price$100

Advertising Review Workshop

This CLE program uses sample ads – you will work in small groups analyzing for rule violations in the various sample ads and present your findings to the other workshop attendees. The moderators will present the regulatory perspective, clarify any misperceptions and answer questions. After attending this session, you will be able to: Discuss rules and regulations relating to varied firm communications Apply some of the rules and regulations discussed

General Credits
1
Price$50

FINRA Regulatory Highlights

This panel will share in-depth information on issues ranging from FINRA’s senior initiative and the Securities Helpline for Senior, JOBS Act (Jumpstart Our Business Startups Act) developments including private placements, changes in fixed income regulation and the use of auto-advice by financial services firm. After attending this session, you will be able to: Discuss the potential impact and status of the Department of Labor’s Fiduciary Rule and related Prohibited Transaction Exemptio...

General Credits
1
Price$50

Fixed Income Communications

This CLE program will discuss how broker dealers can apply the upcoming changes in the fixed income communications rules as well as how to apply current standards to communications about complex income investments. By the end of the session, you will be able to: Summarize recent developments in FINRA and the MSRB’s regulation of communications concerning fixed income securities. Apply FINRA and the MSRB’s enhanced confirmation disclosure requirements. Address the challenges of creati...

General Credits
1
Price$50

Sales Practices: A Case Study Approach

This CLE program addresses a wide range of topics drawn from recent enforcement cases, including supervisory procedures related to outside business activities, recent exams findings and the disciplinary process. They also highlight potential “red flags” and provide suggestions to help avoid compliance issues. By the end of this session, you will be able to: Identify the areas of focus from a District perspective. Understand how the investigative and disciplinary process works. Dis...

General Credits
1
Price$50

Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210

This CLE program provides an overview of FINRA’s Communications With the Public rule, including the filing requirements, internal approval and supervision, and the content standards. FINRA panelists answer questions about how to apply the rules to financial services communications and marketing materials, while providing tips on how to submit communications for review by Advertising Regulation Department staff.

General Credits
1
Price$50

Current Developments in Advertising Regulation

This CLE program addresses current developments in advertising regulation. FINRA experts discuss FINRA’s proposed rule to permit investment planning forecasts and the MSRB’s proposed advertising rule changes. After attending this session, you will be able to: Discuss Revisions made to FINRA Rules 2210 (Communications With the Public) and Rule 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings) in response to the retrospective review of its communications rules. Un...

General Credits
1
Price$50

Current Trends and Topics for Investment Company Communications

Join FINRA staff and industry panelists as they discuss advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. The panel includes discussions on current trends, changes to FINRA Rule 2210 and recent regulatory interpretations, including related performance. The panelists also share tips to strengthen the marketing and compliance relationship when developing compliant communications.

General Credits
1
Price$50

Helping Small Firms Navigate the Communications Rules

How do small firms stay in compliance with the communications with the public rules? FINRA staff and industry panelists answer audience questions and provide practical tips and helpful guidance as well as how FINRA can help small firms navigate the advertising rules. By the end of this session, you will be able to: Understand the challenges small firms face regarding advertising compliance; Learn about ways to address and mitigate some of these challenges; Know how to effectively...

General Credits
1
Price$50


States where Nacle.com Offers Online, Smartphones, Tablets, Audio CD & DVD CLE (Continuing Legal Education):
Alaska CLE | Arizona CLE | California MCLE | Colorado CLE | Connecticut CLE | Washington DC CLE | Delaware CLE | Florida CLE | Georgia CLE | Hawaii CLE | Illinois MCLE | Indiana CLE | Kentucky CLE | Massachusetts CLE | Michigan CLE | Missouri CLE | Mississippi CLE | New Hampshire CLE | New Jersey CLE | New Mexico CLE | Nevada CLE | New York CLE | Ohio CLE | Oregon CLE | Pennsylvania CLE | Tennessee CLE | Texas CLE | Utah CLE | Virginia CLE | Virgin Islands CLE | Washington CLE | Wisconsin CLE | West Virginia CLE | Online CLE Courses | Live CLE Calendar | NY BTG CLE | Teach at the Academy | F.A.Q.
Hardship Policy | Terms And Conditions | Contact Us | Account Login | Unlimited CLE | Sitemap | Mobile Site
Copyright © 2000 - 2018 National Academy of Continuing Legal Education. All Rights Reserved.