Nebraska CLE - Securities Law Courses
This is a listing of Securities Law 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.
CLE Courses Available Online and with iOS/Android App!
Instantly Print Your CLE Certificates
-
The State Of The Art of Investment Advisor Regulations
This CLE course explores the latest developments in Investment Adviser Regulation, focusing on practical steps for investment advisers in light of the Fifth Circuit's decision to vacate the SEC's recent Private Investment Adviser regulations. We'll examine why the SEC chose not to appeal the ruling and discuss the implications. The course will also cover emerging trends and best practices in artificial intelligence, the Marketing Rule, and other recent regulatory changes. Addit... More Info
$501General Credit -
Compliance and Legal Trends in The Financial Industry
Join industry leaders for an in-depth discussion on the latest legal trends, critical focus areas, and innovative strategies shaping legal and compliance functions within financial firms. This CLE session will provide valuable insights into how these changes are impacting the sector and share their approaches to navigating evolving business, regulatory, and technological landscapes. Key topics will include: Regulatory Burden: Understand the complexities and increasing demands of re... More Info
$501General Credit -
Ask FINRA Senior Leaders
During this CLE session, FINRA senior staff provide updates on key regulatory issues and initiatives. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics. This session will discuss: Modernization of FINRA Rules in a post-COVID world (RSL, Remote Inspection Pilot), the current regulatory landscape and FINRA Rulemaking, Risk Monitoring Questionnaires, Exam Moder... More Info
$501General Credit -
Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals
This CLE session explores aspects of Regulation CF and considerations for broker-dealers and funding portals within the crowdfunding realm. Join panelists at this session to gain knowledge on emerging regulatory risks and practices broker-dealers and funding portals can implement to stay in compliance. This session will discuss: Considerations for broker-dealers engaging in Regulation Crowdfunding offerings. Considerations for funding portals engaging in Regulation Crowdfunding offe... More Info
$501General Credit -
Crypto Assets: Trends, Regulatory Developments and Resources
Join this session to learn about the latest cryptocurrency regulatory developments including the crypto-assets retail communications sweep and rule proposal, current trends in crypto misconduct, and resources and guidance firms can leverage. This session will discuss: • Regulatory Developments: Crypto-assets retail communications sweep published in December 2023 Disclosure concerns with OBAs/private securities transactions and net capital issues Themes from crypto survey (reg... More Info
$501General Credit -
Financial Crimes: Outpacing the Threats
This CLE will explore how threat actors are attempting to defraud investors through tactics including market manipulation, new account fraud, cryptocurrency and generative AI. Panelists address the most prominent threats and share effective practices and resources to help firms proactively combat criminals. This session will discuss: • Threats: Microcap IPO manipulation and single stock ETFs for AML Fraud and Sanctions or Manipulative Trading topics New account fraud (includi... More Info
$501General Credit -
FINRA's Disciplinary Hearing Process
Hear from FINRA Enforcement counsel, defense counsel, and a hearing panelist as they broaden awareness about FINRA's disciplinary hearing process and highlight distinctions between self-driven hearings and administrative law judge hearings. This CLE course will discuss: The differences between FINRA hearings versus hearings by administrative law judges; The conflicts clearance process for panelists and hearing officers; The full lifecycle of a case from the pre-complaint phase throu... More Info
$501General Credit -
The Latest in Private Placement Sales Oversight
Learn about regulatory developments, compliance obligations and effective compliance practices related to the sales of private placements, including relevant topics such as Regulation Best Interest, communications, due diligence and conflicts of interest. 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 I... More Info
$501General Credit -
Developments in Remote Supervision
This CLE course will explore the latest remote supervision developments including the remote inspection pilot program, amendments to supervision rules to cover Residential Supervisory Locations and risk-based supervision best practices. This session will discuss: Sunsetting of current COVID relief, and the implementation of Rules 3110.18 and 3110.19 How to functionally report residential locations and RSLs in Firm Gateway Remote supervision best practices and considerations FAQs fo... More Info
$501General Credit -
Fixed Income Securities Regulatory Outlook
This CLE session addresses the latest regulatory focuses related to both fixed income and municipal securities, including Time of Trade disclosures, SEA Rule 15c2-11, and considerations firms should keep in mind with respect to exam priorities, findings, and enforcement actions. This session will discuss: Updates to SEA Rule 15c2-11 Time of Trade Disclosures, including Municipal Fund Securities and Market Discount Transaction Reporting Municipal short closeouts/ possession and co... More Info
$501General Credit -
Modernizing Off-Channel Communications Supervision
Join panelists as they discuss observations from thematic reviews of off-channel communications such as text and social media platforms and effective techniques firms are using to provide oversight of their firms’ communications. This session will discuss: Communications Landscape Rule Requirements--Books and Records, Communications with the Public, and Supervision SEC and FINRA Enforcement Actions Observations from Thematic Reviews of Off-Channel Communications OSE-Facilitated Comm... More Info
$501General Credit -
Promoting Market Integrity: FINRA’s Role in Market Structure
Hear regulatory and industry perspectives on FINRA’s role in promoting market integrity and on the new and evolving rules such as current market structure proposals, securities lending and how transparency initiatives are shaping the market. This CLE discusses: New and emerging rules SEC market structure proposals, securities lending, and other transparency initiatives More Info
$501General Credit -
Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle
This CLE course dives into factors firms should consider when outsourcing activities or functions to third-party providers. Hear from panelists as they discuss how to mitigate vendor risk with strong technology governance programs that encompass the lifecycle of vendor engagement, from onboarding, performing ongoing due diligence, responding to events, and offboarding. This session will discuss: Vendor Management and Due Diligence Regulatory Notice 21-29 (FINRA Reminds Firms of their... More Info
$501General Credit -
The Progression of Regulation Best Interest and Form CRS
During this CLE session, panelists discuss recent observations on firm adherence to Regulation Best Interest and Form CRS and share guidance on Reasonably Available Alternatives, the Care Obligation, and Conflicts of Interest. This session will discuss: Actions: Recent SEC and FINRA findings in Reg BI and Form CRS Interpretation, guidance and best practices: Recent SEC and FINRA findings in Reg BI and Form CRS Reg Notice 23-20 Form CRS FAQs Reasonably Available Alter... More Info
$501General Credit -
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
$501General Credit -
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
$501General Credit -
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
$1002General Credits -
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
$751.5General Credits -
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 fam... More Info
$751.5General Credits -
Navigating the SEC and CFTC Whistleblowing Programs
This CLE course provides an overview of the CFTC, SEC, and IRS whistleblower programs, with a focus on the basics of eligibility, anonymity, and the whistleblowing process. The course will cover the analysis of potential whistleblower claims and the necessary steps for filing a whistleblower claim with each agency. Participants will learn about the ambiguities in the whistleblower awards process and gain insight into the factors that are considered when determining the amount of an awar... More Info
$501General Credit