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New Jersey CLE - Finance and Banking Courses

This is a listing of Finance and Banking CLE Courses for New Jersey. Please make your selection below of New Jersey CLE courses. Our courses are available on CDs, DVDs, Online & Mobile App. Click "Add" to purchase Individual CLE Courses. For more information about a particular CLE course, click on a course name.

Finance and Banking Courses

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Ethics Credits
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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...

General Credits
1.2
Price$50

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,...

General Credits
1.2
Price$50

Alternative Investments and Current Issues

This CLE program discusses rules governing alternative investments, REITs and private placements. This session emphasizes the importance of understanding product features, characteristics and possible risks for purposes of suitability determinations. This program will also provide guidance on steps firms can take to comply with their due diligence and supervisory obligations. Panelists discuss the features of popular and new forms of complex products and their role in portfolio diversification...

General Credits
1.2
Price$50

Common Examination Findings and Compliance Effective Practices for Institutional Firms

This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies. After attending this session, you will be able to: Understand the FINRA examination process and how to create effe...

General Credits
1.2
Price$50

Detecting, Preventing and Investigating Fraud and Misappropriation

This CLE program provides information regarding current fraud schemes from the front line regulators. After attending this session, you will be able to: Understand emerging trends in securities fraud and identify potential threats. Identify potential red flags associated with different types of financial fraud. Know whom to contact to report potential fraud.

General Credits
1.2
Price$50

The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit

This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel. The panelists discuss the three lines of defense and how their firms are applying the risk model. After attending this session, you will be able to: Compare and contrast t...

General Credits
1.2
Price$50

Working Together to Protect Senior Investors

This CLE program provides guidance on identifying and responding to issues and concerns of clients who are or will soon be seniors. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in protecting senior clients, and others who may experience signs of diminished capacity, from financial abuse. Panelists will share techniques around staff and advisor education as well as effect operational practices. After attending this session, y...

General Credits
1.2
Price$50

So Your Commercial Borrower Is In Default? Protecting your Security Interest

Banks, commercial lenders, private investors and loan holders are confronted with a number of important decisions when business owners default on their loan obligations and/or fall behind on their mortgage payments for their commercial property. New Jersey has seen an influx of foreclosures over the recent years. One way that lenders can protect their security interests in their respective properties is by instituting foreclosure proceedings to recover the properties at issue and engage in var...

General Credits
2.8
Price$125

Cyan, Inc. v. Beaver Country Employees Retirement Fund: What it Means; What We Can Expect

In a much-awaited decision on which courts and counsel have reached different conclusions for years, the United States Supreme Court held on March 20, 2018 that the Securities Litigation Uniform Standards Act of 1998 (“SLUSA”) does not strip state courts of jurisdiction over class action law suits brought exclusively under the Securities Act of 1933 (the “1933 Act”). The Supreme Court additionally held that SLUSA does not permit removal of class action claims brought solely under the 1933 Act...

General Credits
1.5
Price$75

Navigating the Purchase and Sale of a Financial Advisory Practice

Many attorneys service clients who are brokers and/or financial advisers in connection with various aspects of their business. In doing so, such attorneys are generally tasked with being well-versed the regulatory, contractual and litigation concerns these particular clients face. Due to the constant evolution of the financial advisory space, practices change hands by way of sale and merger on a fairly regular basis. These transactions are incredibly nuanced, subject to regulatory consideratio...

General Credits
1.2
Price$50
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