New Jersey CLE - Finance and Banking 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
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
$501.1General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws
This CLE program covers the basics of the intersection between “cryptocurrencies” and the federal securities and commodities laws. The title of this program comes from Samuel 2, 1:19. Why this title is apt should be obvious to anyone knowing of recent events in the world of crypto. The program discusses the allegations against Samuel Bankman-Fried, the former CEO of a group of companies known as “FTX,” by the U.S. Department of Justice, the Securities and Exchange Commission and the Com... More Info
$501.1General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Rules and Principles of The Division of Real Estate Between Married and Unmarried Partners
This CLE course will focus on the division of real estate among divorcing couples. We will discuss how prenuptial and midmarriage agreements can protect the spouse's interest in the property and especially if a down-payment was provided by a family member. The course will also describe the pitfalls that befall practitioners when drafting divorce or separation agreements dealing with sale and buyout of real property. Examples and practice pointers will be provided. More Info
$501.1General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Highs and Lows of Cannabis Land Use Regulations
More than 155 million Americans now live in states with legal weed. Maryland and Missouri passed legalization earlier this month, meaning there are now 21 states where anyone at least 21 years old will be able to legally possess marijuana. While people will soon be able to legally purchase and use marijuana in 21 states, cannabis remains classified as a Schedule I drug on the Controlled Substances Act, the same category as heroin. That means cannabis use can still be a disqualifying factor for... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO
From due diligence to closing there are traps and pitfalls that can be anticipated. Attend this CLE course and learn from the lawyers and bankers what they confront and worry about during the marketing and distribution of initial public offerings. The panelists will provide real life examples of challenges that could have jeopardized the success of the IPO’s. Avoid the disasters and help assure your clients’ successful underwriting. More Info
$751.8General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities
This panel will discuss common content standards between FINRA Rule 2210 and MSRB Rule G-21 and describe some key differences. Attendees will hear tips on creating compliant municipal securities communications and considerations for more complex debt instruments. Attendees will gain knowledge of how FINRA’s Fixed Income Regulation Staff works with MSRB on municipal securities matters. Topics Discussed: Comply with the common content standards of FINRA Rule 2210 and MSRB Rule G-21 an... More Info
$501.1General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Variable Products & Retirement Planning
Join FINRA staff and industry practitioners as they discuss variable and retirement planning productions. The panelists also explore frequently asked questions and discuss regulatory challenges. Topics Discussed: Summarize how to create a variable product communication with respect to content and performance. Address selected topics, such as supplemental hypothetical illustrations, comparisons and complexity of contracts and investment options. Understand the legal perspective on th... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Exempt Offerings
This CLE program focuses on industry and regulatory developments related to Reg D and Reg A+ offerings. During the session, panelists discuss common concerns and recent regulatory findings. Speakers provide practical information and effective practices for firms offering these products to retail investors and discuss Regulatory Notices 20-21 and 21-26. More Info
$501.1General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Complexities of Acquiring Control: Where the Fed’s Control Rule Meets Other Regulatory Definitions
The Federal Reserve finalized revisions to its approach for determining whether one company has control over another for purposes of the Bank Holding Company Act and the Home Owners’ Loan Act, as amended. While in many respects the final rule codified the Fed’s existing control standards, it also introduced new concepts and raised critical questions about the industry should implement the rule in practice. Over the last two years the industry has grappled with how to apply these revisi... More Info
$751.8General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Secure ACT: Five Key Considerations
This CLE course will focus on five key considerations of the SECURE Act and how this law may affect your financial plan as an attorney. Some of the topics we will cover include: The new age requirements for RMDs Distribution options for beneficiaries Age limitations on traditional IRAs Flexibility around 529 plans Changes to rules around retirement distributions for births and adoptions More Info
$501.1General Credits