Nevada CLE - Securities Law Courses
This is a listing of Securities Law 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.
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Consolidated Audit Trail
Attend this program to hear how to prepare for compliance with the consolidated audit trail. During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including, firm obligations, deadlines, and resources. The panel also provides an update on the CAT National Market System (NMS) Plan. After attending this session, you will be able to: Review industry test release updates Discuss upcoming key dates Summarize how to prepare and... More Info
$250.5General Credit -
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 -
Ad Review Workshop: Part 1
During this highly interactive and dynamic session, attendees apply FINRA advertising rules to several mock advertisements and uncover the hidden concerns. Attendees work in small groups and present their findings to fellow participants, while moderators present the regulatory perspective, clarify any misperceptions and answer questions. 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 -
Asset Protection for Cryptocurrency
Asset Protection is in high demand in our increasingly litigious world. Cryptocurrency is well regarded as the currency of the future. Cryptocurrency is increasingly becoming a targeted asset in many lawsuits. Blockchain technology can make it easy to see the amount of cryptocurrency an individual owns. This course will teach the various strategies for protecting cryptocurrency from being lost due to a lawsuit. 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 -
Basics of Patents: Are You Protected? Fundamentals of US Patents and Inventorship
An increasing proportion of the value of a company resides in its intellectual property. This makes protection of intellectual property of great importance to company owners, be they sole proprietors or stockholders. Learn the basic ideas of patent law and inventorship in the United States, including what is a patent claim, who should be named as the inventor, what must be disclosed in a patent support its claims, and how patent claims are used in the marketplace. More Info
$501General Credit