New Jersey CLE - On-Demand Courses
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
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On-DemandCD/DVD/USB, Online, iOS/Android App
FINRA’s Suitability Rule and SEC’s Proposed Regulation Best Interest
This CLE program will focus on the key issues regarding FINRA’s suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule, including a review of their differences. Panelists provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with FINRA’s suitability obligations and prepare for the SEC’s proposed Regulation Best Interest Rule. More Info
$501.1General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
High-Risk Activity Impacting Retail Investors
Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you will be able to: Learn effective practices for identifying and mitigating risk in the hiring process. Summarize ways to identify indications of high-risk activity as part of ongoing supervision, and ways to mitigate such risk, including heightene... More Info
$501.1General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
How FINRA Rules Get Made, Reviewed and Updated
Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview and discuss upcoming rule changes, proposals and other regulatory initiatives. Upon completion of this CLE program you will be able to: Discuss the Retrospective Rule Review Process; Review how the advisory committees are used; Identify and under... More Info
$501.1General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Mark-Up Disclosure Requirements
This CLE focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the rule, when mark-up disclosure requirements are triggered and recent guidance on how to calculate mark-ups based on prevailing market price. Panelists share their perspectives on effective practices and helpful tips they have identified. Upon completion of this CLE program you will be able to: discuss the latest MSRB guidance concerning mark-up disclosure requirements. More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks
Join FINRA staff and industry experts as they review legal cases and enforcement actions impacting AML programs. Panelists will cover regulatory trends, potential vulnerabilities, and how you can address any pitfalls in your AML program. Upon completion of this CLE, you will be able to: Discuss recent AML enforcement actions published by FINRA, the SEC (Securities and Exchange Commission) and other regulatory agencies, criminal and governmental authorities. Discuss various methods... More Info
$501.1General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Social Media and Digital Communications: 2019-2020
This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you will be able to: Describe digital marketing and digital communications; Talk about instant, text and app-based messages in your firm; Discuss how to approach social media, both external and internal to your firm; Summarize how to handle video cont... More Info
$501.1General Credits -
On-DemandCDs, DVDs, USB Stick
Sexual Misconduct on Campus: College Discipline & the Title IX Defense
Join attorney Scott Limmer as he explains the provisions of Title IX of the Education Amendments Act of 1972, the disciplinary processes colleges use to investigate complaints of sexual misconduct and the rights of the parties involved. More Info
$501.4General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Adam Walsh Act Cases
On July 27, 2006 President George W. Bush enacted the Adam Walsh Child Protection and Safety Act. This law was meant to protect children from sexual exploitation in violent crimes, prevent child abuse and child pornography, and to promote Internet safety. However, the act also amended INA Section 204 and effectively prohibited US citizens and lawful permanent resident aliens who have been convicted of any “specific crime against a minor” from filing any family-based immigrant petition on behal... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Spousal Abuse Petitions for I-360 and I-751 Cases
There are specific criteria and considerations in psychosocial evaluations for spousal abuse cases, specifically when handling immigration petitions. Here, attorney Mark Silver discusses how such cases are evaluated from a clinical perspective with the consideration for the client's immigration petition. He examines the cycles of abuse and the challenges the victim faces in the context of their marriage to an American citizen, as well as the major types of abuse and characteristics of abusers.... More Info
$751.5General Credits -
On-DemandCDs, DVDs, USB Stick
Artificial Intelligence (AI) and the Legal Profession
Artificial Intelligence (“AI”) applications seem to be in use everywhere, transforming vital aspects of the economy, our society, and even the courts and the way we practice law. Algorithms and other AI applications influence what we see, hear, and often think. Yet adopting AI also raises ethical and legal risks for those sectors of the community using it. Our panel of experts will discuss how Ai is impacting our lives now and in the future, as well as examine how the technology will in... More Info
$1002.4Total Credits1 Ethics