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-Demand
    CD/DVD/USB, Online, iOS/Android App

    NYS Compassionate Care Act, NJ Compassionate Use Act and Proposed Amendments

    This CLE program features a panel of speakers discussing the NYS Compassionate Care Act, NJ’s Compassionate Use Act and its potential expansion. Expansion of the current medical program regulations will include additional qualifying conditions, expanded product lines, and the possibility of additional registered organizations (“dispensaries”). Topics include the process of patient registration, the challenges of being in business, and some of the legal & regulatory matters regarding bu... More Info

    $100
    2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Outside Business Activities and Private Securities Transactions

    This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effective practices regarding policies and procedures for identifying, documenting and disclosing OBAs. FINRA will also discuss the recently proposed rule changes related to OBAs and PSTs. After attending this session, you will be able to: Unde... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Overview of Adult Use Legislation in New York & New Jersey

    Moderated by Dr. Malik Burnett, this panel begins with Chris Alexander and Senator Krueger explaining New York’s pending Marijuana Regulation and Taxation Act (“MRTA”) followed by Amol Sinha speaking about New Jersey’s pending legalization bill. The discussion continues with current issues standing in the way of legalization and the instructors’ visions of what an inclusive, regulated cannabis industry looks like. Mr. Sinha explains the difference between legalization and decriminalization and... More Info

    $100
    2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Protecting Your Cannabis Intellectual Property

    This CLE course begins with an overview of how intellectual property law works and the various protections available through trademarks, copyrights, patents and licensing. Ms. Bernstein explains what types of cannabis business are federally prohibited from trademark protection and offers insight into other avenues available – and the issues that might arise – when you advise your clients on protect their cannabis related assets. More Info

    $50
    1General Credit
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    The Realities of Regulation: Regulating Adult Use After Legalization

    This CLE program is presented by Shaleen Title, Commissioner of Massachusetts Cannabis Control Commission. She shares insight into the creation of the commission and their work in creating appropriate regulations within a complex political and economic structure. Commissioner Title shares insight with attendees regarding how regulations are actually shaped, what surprises she has faced, and lessons she has learned along the way. More Info

    $75
    1.7General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Common Examination Findings and Effective Compliance Practices

    This CLE program will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide guidance on taking corrective action and updating compliance procedures and practices based on lessons learned from common exam deficiencies. After attending this session, you will be able to: Discuss common findings in various regulatory areas and related supervisory deficiencies. Identify controls, procedures and processes that member firms are inco... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)

    This CLE program provides guidance on common deficiencies noted during FINRA examinations of medium and large firms.. Industry practitioners discuss taking proactive compliance measures and corrective action in response to examination deficiencies and recommendations. Senior FINRA staff discuss the exam process from their perspective and provide examples of best practices. After attending this session, you will be able to: Understand the FINRA examination process and effective practice... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Effective Processes for Suspicious Activity Monitoring and Investigations

    This CLE program provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an understanding of the anti-money laundering regulations and steps firms can take to protect their organization. After attending this session, you will be able to: Understand AML program requirements. Discuss efficient practices on identifyi... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Implementing a Risk-Based Program and Identifying Red Flags

    This CLE program provides guidance on implementing an effective risk-based branch office inspection program. After attending this session, you will be able to: Understand FINRA’s Member Regulation Department’s approach to executing risk-based cycle and branch exams. Gain insight into how member firms prepare for, facilitate and learn from risk-based regulatory examinations along with effective practices from the FINRA perspective. Understand how FINRA uses technology, tools and data... More Info

    $50
    1.2General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Suitability, Supervision and Surveillance

    This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with the suitability rule. They also discuss the intersection of suitability requirements with recent timely industry issues, such as senior customers, sales of complex products, IRA rollovers,... More Info

    $50
    1.2General Credits

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