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. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
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
Alternative Investments and Complex Products
This CLE program addresses developments related to alternative investments and complex products. The session emphasizes the importance of understanding product features, characteristics, and their supervisory challenges. After attending this session, you will be able to: Understand the latest regulatory developments related to alternative investments and complex products Discuss due diligence requirements and industry practices when recommending private placement and REIT securities... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
CFPB Formation, Powers and Enforcement
The collapse of the real estate industry and the subsequent financial collapse of 2008 led to sweeping changes. One of these was the creation of the Consumer Financial Protection Bureau (CFPB) under the Dodd-Frank Street Reform & Consumer Protection Act of 2010. A new and independent regulator, the CFPB was designed to oversee federal consumer protection laws. The mission of the CFPB, the various statutes it regulates and how it evolved will all be discussed in this comprehensive CLE course. T... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Closing Disclosure Under TRID
The Real Estate Settlement Procedures Act (RESPA) and the Truth in Lending Act (TILA) were both created as protective measures that provide disclosures to eliminate abusive practices. The longstanding congressional goal to integrate the two in order to avoid overlap, inconsistencies and discrepancies, came to the fore with the creation of the Consumer Financial Protection Bureau (CFPB) which was charged with proposing regulation to combine RESPA and TILA with the hope that a well-informed cons... More Info
$501General Credit -
On-DemandCD/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
$501General Credit -
On-DemandCD/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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Ethical Considerations of Litigation Funding
Litigation funding, or legal funding is both a highly criticized and helpful area of assisting accident victims depending on whom you are asking. This secondary market of funding clients and attorneys raises ethical issues including but not limited to the attorney client relationship, privilege and champerty. This CLE program discusses those areas and more as it applies to personal injury attorneys and their clients. The lecture both explains legal funding, discusses the merits of assisting th... More Info
$501Ethics Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Fannie Mae and FHA Condominium Regulation and Policy
This CLE course will explore the relevant guidelines and legal requirements that regulate the availability of obtaining end-loan financing for condominium and cooperative developments which attorneys are relied upon by developers for advice and guidance. Starting with a brief discussion of the history and market trends that led to the current regulatory environment, the course will then explore the currently available financing options and methods for obtaining approval from Fannie Mae, the FH... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Investment Companies Current Topics
Join FINRA staff and industry panelists as they discuss topical advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. Panelists cover the compliance challenges associated with complex products such as single stock ETFs, crypto futures funds, non-transparent ETFs and ESG focused investments. The panel also includes discussions regarding regulatory interpretations and compliance tips. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Municipal Rules and 529 Plans Update
The MSRB (Municipal Securities Rulemaking Board) substantially amended its rules for municipal dealers’ advertising and adopted a brand new standard for municipal advisors’ advertising. The MSRB also adopted formal guidance for both dealers and advisors’ use of social media. The municipal securities advertising rules have changed. This CLE Lecture will assist in learning how the regulators are applying the modernized standards including the new rule for municipal adviser firms. The... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Options Markets: Recent Regulatory Issues
Join FINRA staff and industry panelists as they discuss regulatory issues impacting options markets. After attending this session, you will be able to: Discuss recent and ongoing regulatory initiatives Discuss supervision of options trading in customer accounts Identify effective controls, procedures, and technology processes More Info
$501General Credit