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

This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of medium and large 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 e...

General Credits
1
Price$50

Common Examination Findings and Effective Compliance Practices (Small Firm Focus)

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...

General Credits
1
Price$50

Consideration and Practices for Supervising Independent Contractors

This CLE program provides guidance on supervising independent contractors. This panel of FINRA staff and industry members addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance, and shares effective industry practices. After attending this session, you will be able to: Understand the risk associate...

General Credits
1
Price$50

Customer Due Diligence Rule: 2017 FINRA Annual Conference

This CLE program provides guidance on Customer Due Diligence Rule. Join FINRA Staff and industry experts as they discuss the proposed rule and steps firms can take to meet the requirements. After attending this session, you will be able to: Summarize and explain FinCEN’s Customer Due Diligence Rule. Understand rule requirements. Identify steps firms have taken to meet the requirements.

General Credits
1
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 who to contact to report potential fraud.

General Credits
1
Price$50

Enforcement Developments: 2017 FINRA Annual Conference

This CLE session provides and overview of new developments and trends in enforcement, including enforcement priorities, as well as policy changes and clarifications, particularly regarding information requests. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices. Panelists will also provide information and insight on navigating enforcement investigations and the disciplinary process. After a...

General Credits
1
Price$50

Institutional Sales and Trading Compliance Concerns: 2017 FINRA Annual Conference

This CLE program will highlight institutional fixed income and equity sales and trading compliance concerns and related risk controls. Compliance professionals in these business lines face an array of challenging issues, everything from conflicts of interest to rogue and manipulative activity, which present varying levels of risk to their firms. After attending this session, you will be able to understand the business issues and regulatory concerns they confront on a daily basis and the most...

General Credits
1
Price$50

Navigating the Clearing Firm Relationship: 2017 FINRA Annual Conference

This CLE program provides an overview of the roles and responsibilities of clearing and introducing firms. This session is intended to assist firms in making the most of the relationship with their clearing firm. Panelists discuss the roles and responsibilities of clearing and introducing firms, types of reports and services that clearing firms offer, and practices for integrating these tools into introducing firms’ compliance processes. After attending this session, you will be able to:...

General Credits
1
Price$50

Social Media and Digital Communication Trends: Mobile, Messaging and Beyond

This CLE program provides efficient practices for the use of digital media. Join FINRA and industry social media and digital compliance experts as they discuss current and future trends. Topics will include how firms are addressing the compliance risks associated with social media and messaging services, the increased use of mobile, the evolution of live content and new capabilities, and practical compliance tips for native advertising, testimonials, and links to BrokerCheck. After atte...

General Credits
1
Price$50

Strengthen Your Cybersecurity Practices (Small Firm Focus)

This CLE session discusses cybersecurity risks faced by small firms and measures they can take to control those risks on a limited budget. Panelists share their perspectives on determining a firm's cybersecurity priorities (or risk appetite) along with useful practices for designing and implementing a cost-effective Cybersecurity risk management program. Attendees will also learn about the cybersecurity resources available through FINRA’s website. After attending this session, you will...

General Credits
1
Price$50
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