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

    Consolidated Audit Trail

    Attend this program to hear how to prepare for compliance with the consolidated audit trail. During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including, firm obligations, deadlines, and resources. The panel also provides an update on the CAT National Market System (NMS) Plan. After attending this session, you will be able to: Review industry test release updates Discuss upcoming key dates Summarize how to prepare and... More Info

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

    Enforcement Developments

    This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities and provide a view into the process. Panelists also provide guidance on regulatory and compliance practices. More Info

    $50
    1.1General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    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

    $50
    1.1General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Doing More With Less: Challenges of a Small Firm Compliance Department

    Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfilling their duties as officers of their firms. A strong compliance program does not have to be expensive to be effective but needs commitment from all levels. Join FINRA staff and industry practitioners for a discussion on mitigating regulatory risks and determining how to more effectively allocate resources when establishing and maintaining an effecti... More Info

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

    Ethical Considerations in Conducting Investigations

    Investigations by lawyers are an essential element of most litigation matters. Ethics rules make it clear what lawyers can say and do and they also outline what investigators can do on the attorney’s behalf. This CLE presentation will provide a strong understanding of the ethical issues involved in conducting investigations. The course will address the following topics: Understanding what investigators can and cannot do Knowing the difference between ethical violations and crimina... More Info

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

    FINRA’s Examination and Risk Monitoring Program

    Attend this session to learn about the firm grouping structure and lessons learned during implementation. During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what firms can expect going forward. After attending this session, you will be able to: Understand new organizational structures in the Exam, Specialist and Risk Monitoring Programs Discuss Risk Monitoring activities Discuss what firms can... More Info

    $50
    1.1General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Fraud Detection and Prevention

    Attend this session to hear about recent and noteworthy fraud cases. This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the brokerage industry, provide tips to identify potential “red flags,” and discuss what to do if a fraudulent scheme is suspected. After attending this session, you will be able to: Understand emerging trends in this new COVID environment in sec... More Info

    $50
    1.1General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Gamification, Social Media, and Digital Communications Perspectives

    Attend this session to hear how regulatory experts are evaluating the rapidly changing world of digital communications to capture investors’ attention and influence their behavior. The panel discusses risks and benefits of gamification features on broker-dealers’ apps and websites, and also considers the effects of digital marketing, notifications and alerts, and the increased impact of social media during the pandemic and beyond. More Info

    $50
    1.1General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    Market Regulation Priorities

    Attend this session to hear about market regulation priorities, including current initiatives and rulemaking. This session provides updates on market regulation priorities, including current initiatives and rulemaking. FINRA panelists share thoughts on equities, options, and fixed income compliance programs. After attending this session, you will be able to: Understand FINRA Market Regulations’ initiatives, priorities, and significant matters Discuss major developments in eq... More Info

    $50
    1.1General Credits
  • On-Demand
    CD/DVD/USB, Online, iOS/Android App

    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

    $50
    1.1General Credits

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