Nevada CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Nevada. Please make your selection below of Nevada 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 on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!
Instantly Print Your CLE Certificates
-
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
$250.5General Credit -
Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO
From due diligence to closing there are traps and pitfalls that can be anticipated. Attend this CLE course and learn from the lawyers and bankers what they confront and worry about during the marketing and distribution of initial public offerings. The panelists will provide real life examples of challenges that could have jeopardized the success of the IPO’s. Avoid the disasters and help assure your clients’ successful underwriting. More Info
$751.5General Credits -
Enforcement Developments
This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities and provide a view into the process. Panelists also provide guidance on regulatory and compliance practices. More Info
$501General Credit -
Evaluating a Franchise for a Franchisee: What Attorneys Need to Know
This CLE course is designed for counsel representing a franchisee in evaluating a decision to purchase a franchise, reviewing the FDD and Franchise Agreement, and Negotiating an Addendum. It will discuss some of the key considerations a franchisee will need to evaluate in making a decision to purchase a franchise and strategies for negotiating on behalf of a franchisee. More Info
$751.5General Credits -
Exempt Offerings
This CLE program focuses on industry and regulatory developments related to Reg D and Reg A+ offerings. During the session, panelists discuss common concerns and recent regulatory findings. Speakers provide practical information and effective practices for firms offering these products to retail investors and discuss Regulatory Notices 20-21 and 21-26. More Info
$501General Credit -
Fair and Equitable Housing Regulations and Legal Ethics in Real Estate
Real Estate Attorneys and Real Estate Professionals, including Realtors and Appraisers, must exercise ethical conduct towards all parties including Sellers and Purchasers of a residential real estate transaction. Our panelists will focus on the due diligence and legal ethics that should be exercised in assisting your clients to make a well informed decision to sign a residential contract and purchase a home. Given the current events, changing mortgage interest rates and shortage of home... More Info
$501General Credit -
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 -
Financial Responsibility Rules and Relevant Touchpoints
In this informative CLE course, panelists will discuss topics involving SEC and FINRA financial responsibility rules, including regulatory obligations of introducing, intermediary, carrying and clearing firms under FINRA Rule 4311; SEA Rule 17a-4; and other topics including liquidity and fully-paid lending. More Info
$501General Credit -
FINRA’s Examination and Risk Monitoring Program
Attend this session to learn about the firm grouping structure and lessons learned during implementation. During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what firms can expect going forward. After attending this session, you will be able to: Understand new organizational structures in the Exam, Specialist and Risk Monitoring Programs Discuss Risk Monitoring activities Discuss what firms can... More Info
$501General Credit -
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
$501General Credit