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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Following the Money: A Primer on Fraudulent Transfer Litigation for the Uninitiated
Collecting debts can become extremely difficult and complicated if the debtor decides to play dirty. Debtors facing large lawsuits may try to make themselves judgment-proof by giving away assets to friends, family and other insiders, leaving little or nothing for the creditor to take. This CLE course examines how to combat and unwind such “fraudulent transfers” under the Uniform Fraudulent Transfer Act (“UFTA”). Additionally, this course will cover the nuts and bolts of avoidance... More Info
$501General Credit -
Form CRS: Practical Considerations for Attorneys
Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as conflicts of interest embedded in the firm's way of doing busi... More Info
$501General Credit -
Gamification, Mobile Apps and Digital Engagement
Panelists share insights into the developing world of digital engagement practices, including gamification, in broker dealers’ mobile apps, marketing, and online platforms. Attend this session to hear how compliance and regulatory experts are responding to the rapidly developing use of data analytics to drive digital communications. Panelists discuss risks and benefits of digital engagement features and how to supervise them effectively. After attending this session, you will be... More Info
$501General Credit -
Hot Topics in FinTech
Join FINRA staff and industry practitioners as they discuss the growing area of FinTech (Financial Technology). The session includes a discussion on new and innovative ways firms are integrating fintech into their business models and the importance of a strong compliance structure to address regulatory obligations. After attending this session, you will be able to: Gain a perspective on how “FinTech” is defined by various industry stakeholders Discuss the supervisory challenges of t... More Info
$501General Credit -
Hot Topics in Municipal Securities and Other Fixed Income
FINRA and MSRB staff discuss recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking, and common problems uncovered during Member Supervision and Market Regulation reviews. After attending this session, you will be able to: Review recent enforcement actions on 529s and muni shorts Discuss topics related to municipal securities Discuss recent and ongoing regulatory initiatives More Info
$501General Credit -
Hot Topics in Municipal Securities and Other Fixed Income
This CLE program covers an assortment of key considerations surrounding fixed income securities including exam priorities, common findings and enforcement actions, fixed-income rulemaking, and an update on SEC Rule 15c2-11. This CLE program will discuss: Review of recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking and common problems uncovered during Member Supervision and Market... More Info
$501General Credit -
Leveraging Regulatory Technology for Your Firm
During this CLE program, panelists discuss how RegTech is impacting the securities industry as well as related benefits, risks and regulatory considerations. The session also covers different RegTech tools available to enhance compliance efforts, such as FINRA's new Machine Readable Rulebook as well as other tools involving the use of artificial intelligence and cloud computing. This session will discuss: Considerations for using Regtech tool such as those incorporating AI for regul... More Info
$501General Credit -
Litigation Support Services Performed by Forensic Accountants
Lawyers, judges, and juries often struggle with complex accounting, valuation, and business issues. Therefore, forensic accountants can provide valuable services to litigants and their attorneys. These services can range from interpretive analysis, to investigations, to damages analysis and more. In this course, attendees will learn various types of litigation support services, learn the impact of a forensic accountant on all stages of a litigation, and listen to a case study with r... More Info
$501General Credit -
Market Regulation and Transparency Services Priorities: What You Need to Know
During this CLE session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs. This session will discuss: Discuss updates on market regulation and transparency priorities, including current initiatives and rulemaking FINRA panelists share thoughts on equities, options and fixed income compliance programs Include information on: Manipulative Trading Reg Notice 22-27 (TRACE) Fixed Income Fair... More Info
$501General Credit -
Market Structure: Current Developments and Future Trends
During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities. This session will discuss: Discuss current developments and future trends in the industry, including best execution guidance, payment for order flow issues and Transparency 605/606 A notice and comment period on Market Structure will wrap up around May – discuss notice... More Info
$501General Credit