Live Chat with a CLE Manager
Continuing Legal Education courses for Attorneys
You are viewing courses for New Mexico. Select a Different State.
View NM Accreditation Info

New Mexico CLE - Business Law Courses

This is a listing of Business Law CLE Courses for New Mexico. Please make your selection below of New Mexico 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.

Business Law Courses

Sort By:CreditsTitle
Total Credits:
0
Ethics Credits
0

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
Price$50

Market Regulation Priorities: Detecting and Preventing Misconduct

This CLE program provides updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income compliance programs. After attending this session, you will be able to: Understand Market Regulations’ initiatives, priorities and significant matters. Discuss major developments in equities, fixed income and options markets surveillance. D...

General Credits
1
Price$50

Outside Business Activities and Private Securities Transactions

This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effective practices regarding policies and procedures for identifying, documenting and disclosing OBAs. FINRA will also discuss the recently proposed rule changes related to OBAs and PSTs. After attending this session, you will be able to: Unde...

General Credits
1
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
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
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
Price$50

Nailing the 30 Min Consultation

This CLE program will discuss the benefits of offering a free consultation to potential clients along with strategies and red flags to look for to maximize your time as an attorney. The free consultation is a great way to get in front of the potential client and it is also an opportunity to qualify them as a client you would like to help. We will look at a proven game plan to conduct a meeting in 30 minutes and walk away with a client you feel confident you can help get to financial freedom....

General Credits
1
Price$50

The Law of Bank Payments

This CLE course will discuss various issues concerning payments made by or through banks. Covered are laws concerning check and wire transfer payments made by and to consumers and businesses. Discussed are claims concerning such payments made against banks, and various bank defenses applicable to such claims. Also discussed are laws concerning payments collected through the Federal Reserve Banks and government regulation of payments concerning internet gambling.

General Credits
2.5
Price$125

Business Immigration Law: New Rules and New Challenges in Recruiting Global Talent

In the last year, companies facing an already competitive hiring market have faced new rules and new challenges in recruiting and retaining global talent. What have been some of the most important lessons from the last year and how should companies prepare for the year ahead? This CLE program will touch on Executive Orders and USCIS policy shifts that impact work visas including H-1B visas, business travel, and overall enforcement.

General Credits
1
Price$50

Ethical Considerations: Retainers and Disclaimers in Cannabis Law

This CLE course covers the emerging principles in the ethical representation of clients in cannabis related matters. Ms. Burke starts with a broad overview of laws and ethical rules that govern attorneys at both the federal and state level. She then narrows her focus onto specific aspects of the ABA, as well as New York’s recent guidance on attorney ethics as it relates to cannabis. Ms. Burke shares scenarios highlighting the difference between giving business advice and giving legal advise an...

Ethics Credits
1
Price$50


States where Nacle.com Offers CLE Courses On DVDs, Audio CDs, Online & iOS/Android App (Continuing Legal Education):
Alaska CLE | Arizona CLE | California MCLE | Colorado CLE | Connecticut CLE | Washington DC CLE | Delaware CLE | Florida CLE | Georgia CLE | Hawaii CLE | Illinois MCLE | Indiana CLE | Kentucky CLE | Massachusetts CLE | Michigan CLE | Missouri CLE | Mississippi CLE | New Hampshire CLE | New Jersey CLE | New Mexico CLE | Nevada CLE | New York CLE | Ohio CLE | Oregon CLE | Pennsylvania CLE | Tennessee CLE | Texas CLE | Utah CLE | Virginia CLE | Virgin Islands CLE | Washington CLE | Wisconsin CLE | West Virginia CLE | Online CLE Courses | Live CLE Calendar | NY BTG CLE | Teach at the Academy | F.A.Q.
Hardship Policy | Terms And Conditions | Contact Us | iOS/Android App | Account Login | Unlimited CLE | Sitemap | Mobile Site
Copyright © 2000 - 2018 National Academy of Continuing Legal Education. All Rights Reserved.