New Hampshire MCLE - Finance and Banking Courses

This is a listing of Finance and Banking CLE Courses for New Hampshire. Please make your selection below of New Hampshire 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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  • Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings

    There is much confusion regarding the many cryptocurrencies available and even more about blockchain technology; particularly in light of recent market upheavals. Global observers are keen to determine whether cryptocurrencies and the blockchain technology are taking us in a new currency direction, or whether crypto is a fading fad. The answers to these questions may lie in the legal analysis. What are the legal challenges and do the challenges doom the blockchain? Or can ou... More Info

    $50
    1.1General Credits
  • What You and Your Clients Need to Know About the USPTO’s Post-Registration Audit

    Removing “deadwood” (registrations for marks that are not in use in commerce) from the Trademark Register has become an increasingly important priority for the USPTO in recent years. A few years ago, the USPTO instituted a permanent post-registration audit program by which it requires trademark registrants who file a Declaration of Use to submit proof of use for two additional items in each class, beyond the product for which a specimen is submitted. This webinar will teach you about th... More Info

    $50
    1General Credit
  • Privacy and Cyber Breaches: Are You Next?

    For businesses large and small, compliance with federal, state, and foreign privacy laws and regulations has become an essential business obligation. These laws govern a company’s collection, storage, use, sharing and disposal of personally identifiable information (“PII”), protected health information (“PHI”), and payment card information (“PCI”). A company’s innocent or inadvertent failure to abide by these laws, or its failure to timely and fully disclose how it performs such tasks,... More Info

    $75
    1.5General Credits
  • Metaverse Law: Intro to ARVR, Issues, IP Ownerships, Monetization, Cyber Currency, and Licensing

    With apologies to the Beatles, tech is flowing out like endless rain into a paper cup, it slithers unregulated across the Metaverse. From AltCoin to Web 3.0, this course addresses the breadth of tech law in the Metaverse. The lecturer will review some of the basic terminology (in plain English!) before discussing the application of regulatory and statutory law to the Metaverse, how the Metaverse polices itself, and how the Metaverse is monetized. Specific topics will... More Info

    $75
    1.5General Credits
  • The Uses of an Economist to Prove and Rebut Proof of Economic Damages in a Personal Injury Case or Wrongful Death Case

    This presentation is practice-oriented especially for attorneys litigating personal injury and/or death cases in any jurisdiction. It delivers practical information about whether an attorney should retain an economist, how to find an economist, a description of the factual and other information an economist will need, the work product(s) of an economist and a direct examination of an economist. The presentation will be comprehensive in scope, discussing the various components... More Info

    $100
    2General Credits
  • 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

    $50
    1General Credit
  • Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities

    This CLE program reviews challenges facing firms in monitoring and protecting against fraudulent activities. Join FINRA staff and industry panelists as they provide examples of effective controls their firms have put into place to address AML risks. After attending this session, you will be able to: Review AML and Fraud Protection Red Flags and Effective Practices Discuss monitoring for high-risk suspicious activities Discuss policies, procedures, controls, and education that bridg... More Info

    $50
    1General Credit
  • Communications Compliance: Current Developments

    This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends. Panelists will also talk about the regulatory implications of complex products and services such as crypto assets and emerging technologies in the marketing compliance space. After attending this session, you... More Info

    $50
    1General Credit
  • Conflicts of Interest in Capital Markets and Investment Banking

    This CLE program will discuss helpful tips and tools for managing conflicts of interest in capital markets and investment banking firms. Panelists will discuss practices that raise conflict of interest concerns and how to remedy these issues. After attending this session, you will be able to: Understand how some firms identify and mitigate risks associated with conflicts of interest Apply practical compliance approaches to mitigate and monitor for conflicts of interest Know of and... More Info

    $50
    1General Credit
  • Considerations and Practices for Supervising Independent Contractors

    This CLE program addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance and shares effective industry practices. After attending this session, you will be able to: Understand the challenges associated with supervising independent contractors Identify effective practices for supervision and o... More Info

    $50
    1General Credit

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