Nebraska CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Nebraska. Please make your selection below of Nebraska 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.
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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
$350.75General Credit -
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
$350.75General Credit -
"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
$501General Credit -
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
$501General Credit -
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
$501General Credit -
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
$501General Credit -
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
$501General Credit -
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
$501General Credit -
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
$501General Credit -
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
$501General Credit