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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Overview of FinTech Regulation and Compliance
A very high-level overview of some of the issues and challenges facing attorneys representing companies that are utilizing new technology to improve and automate the delivery of financial services (FinTech). Overview of the core principles and regulatory regimes in the United States governing key aspects of financial services including banking, securities, funds, money transmission, commodities, and anti-money laundering, and how these affect the operations of FinTech companies.... More Info
$501General Credit -
Private Placements: The Latest Regulatory Developments and Compliance Considerations
Join panelists as they perform a deep dive into private placement regulatory developments including regulatory notice 23-XX as well as compliance obligations and best practices related to Reg BI, sales materials, due diligence, conflicts of interest and more. 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... More Info
$501General Credit -
Redefining Communications Compliance for the Digital Age
As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communications with the public. Panelists cover lessons learned from FINRA’s ”finfluencer” targeted examinations, recent enforcement activity around off-channel communications, and how practitioners are approac... More Info
$501General Credit -
Regulation Best Interest and Form CRS: Recent Observations and What to Expect
Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying with the rules. Panelists share what they are seeing during compliance examinations, effective practices, and resources available to help firms comply with future initiatives. After attending this session, you will be able to: Discuss... More Info
$501General Credit -
Remote Supervision
Join FINRA staff and industry panelists as they discuss what they have learned from working remotely. During the session, panelists discuss effective controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment. After attending this session, you will be able to: Identify controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment Review lessons learned and... More Info
$501General Credit -
Remote Supervision: Compliance Challenges in a Remote Working World
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all staff to remote work environments and implement remote supervisory practices. Join FINRA staff and industry panelists as they discuss challenges firms face with staff working from home during the COVID-19 pandemic. Panelists also share what they have learned from these events and how they have improved their Business Continuity P... More Info
$501General Credit -
Representing the Section 1031 Tax Deferred Exchange Client
Internal Revenue Code §1031 tax-deferred exchanges provide tremendous tax savings by allowing owners of real property to defer the capital gains normally due upon the sale of their property. This CLE program will explain how to effectively represent the needs of their clients who are contemplating an exchange. The program will discuss: The qualifications and requirements for an exchange Preparation of the sales contract, settlement statement and other closing procedures Considerati... More Info
$501General Credit -
Restricted Firm Obligations: What You Need to Know
Join FINRA staff as they discuss Rule 4111 (Restricted Firm Obligations). During the session, panelists review the new obligation and criteria for identification. After attending this session, you will be able to: Review new obligations Identify controls, procedures, and processes that member firms are incorporating to address these obligations Review identification metrics thresholds Discuss restricted deposit accounts More Info
$501General Credit -
Senior and At-Risk Investors
Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected. After attending this session, you will be able to: Review FINRA Rules 2165 & 4512 Discuss elder abuse prevention and protection act Review State Report and hold laws More Info
$501General Credit -
Skip Tracing for Lawyers
Attorneys in most areas of practice, especially trust and estates, personal injury, malpractice, debt collection and real estate law occasionally encounter situations requiring the location of missing people. This includes heirs, beneficiaries, witnesses, shareholders and debtors. In many instances, with the proper knowledge, resources and creativity, lawyers may be able to locate these absentees without having to retain the services of private investigators or skip tracers. This conti... More Info
$501General Credit