New Mexico MCLE - Business Law Courses
MCLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!
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For Those Who Dare: Practical Legal Approaches to Funding Start-Up Companies
Helping fund start-up companies can be a high wire act. It is exhilarating, but it requires practical and nimble approaches to balance the provision of quality legal work with the demands of limited time, money and other resources. This course addresses various types and stages of funding, from bootstrapping to priced equity rounds. It also addresses related topics that help prepare start-ups, and best position them, for successful fundraising efforts. More Info
$501.2General Credits -
Litigation Support Services Performed by Forensic Accountants
Lawyers, judges, and juries often struggle with complex accounting, valuation, and business issues. Therefore, forensic accountants can provide valuable services to litigants and their attorneys. These services can range from interpretive analysis, to investigations, to damages analysis and more. In this course, attendees will learn various types of litigation support services, learn the impact of a forensic accountant on all stages of a litigation, and listen to a case study with r... More Info
$501General Credit -
Starting Your Own Firm & Scaling It
If you are interested in starting your own firm but do not know what it entails or where to begin, this lecture will provide you with essential advice and tips. Attorney Matthew Rappaport will walk you through the entire process from launching your own firm (including how to leave your old firm) and traps to avoid when you launch your new firm. This CLE presentation will guide you on how to approach dealing with your first clients and how to scale your business efficiently and effect... More Info
$501.2General Credits -
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
$501General Credit -
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
$501General Credit -
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
$501General Credit -
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
$501General Credit -
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
$501General Credit -
Privacy Law & Policy: Keeping Clients Out of Regulators’ Crosshairs
In today’s evolving patchwork of privacy laws, every consumer-facing business is under growing compliance pressure as states take aim at consumer issues through general privacy laws like California’s Consumer Privacy Act (CCPA) and enhanced state data breach laws. This session will provide a general overview of current and emerging federal and state privacy regulations. It will also provide strategies and best practices for identifying potential privacy gaps and advising clients on compliance... More Info
$751.5General Credits -
How to Handle an Employment Discrimination Case
Hear from a distinguished panel, including the Assistant Commissioner of NYC Commission on Human Rights and Magistrate Judge Judith McCarthy, what you need to know to handle an employment discrimination case. Our panel will discuss: Overview of Agency Practice: Drafting a Complaint and answer Litigation Tips from the Plaintiff’s Perspective Litigation Tips from the Defendant’s Perspective Judicial Perspective on Employment Discrimination Litigation … and MORE!! More Info
$1252.4General Credits