New York CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for New York. Please make your selection below of New York 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.
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The Case Against Tipper X
lmagine the following: lt is the morning of a normal workday for you and millions of others who live in New York City. You go to the gym for a workout and run some errands before heading to the office. Unexpectedly, two FBI agents approach you on the sidewalk, flash their badges - in public view - and begin questioning you about activity at your job. The agents begin spitting out details about your personal life - they know where you were last weekend, they know private details about your famil... More Info
$751.5Prof Practice -
The Basics of Blockchain and Cryptocurrency in Estate Planning
On January 3, 2009, the Bitcoin network came into existence. Since then Bitcoin, and other internet currencies have grown in popularity and credibility. Cryptocurrencies can provide a secure and universal form of payment. They can be stored digitally and can operate without the use of a middleman or bank. This CLE Lecture will cover the basics of cryptocurrency, how the Blockchain works, and how Cryptocurrencies can fit into your Estate plan. More Info
$501Prof Practice -
Swiss Banks, Smuggling and Other Asset Recovery Issues
In its 2007 National Money Laundering Strategy report, the U.S. government estimated that as much as $36 billion annually from just the former Soviet Union, was being secretly transferred through U.S. bank accounts and U.S. shell companies. Besides using U.S. bank accounts and shell companies, kleptocrats, Ponzi schemers, divorcing spouses, etc., can of course conceal assets by parking them in Swiss or other foreign bank accounts. This program analyzes how bank secrecy laws, multiple jurisdic... More Info
$1253Total Credits1 PP, 1 Skills, 1 Ethics -
SPAC IPOs: Hotter Than Ever and How They Work With Forms
A Practitioner’s Guide to the formation, filing and public offering of the securities of a Special Purpose Acquisition Company(SPAC), with forms. This CLE course provides insights, examples and explanations of the public offering process. The course is suitable for all attorneys who represent business entities of any kind. Dan Brecher is a nationally known, widely published securities attorney who has been lead counsel in hundreds of public and private offerings, including SPACs.... More Info
$751.5Prof Practice -
Social Media and the Rise of the Finfluencers
Human behavior has evolved as a result of the pandemic. For the financial services industry, the rapid acceleration of digital adoption has dramatically changed the way we engage with each other and our clients. Join FINRA staff and industry panelists as they discuss how social media and social media influencer are affecting the industry. Panelists discuss new developments, effective compliance practices, and how their firms are managing social media obligations. After attending t... More Info
$501Prof Practice -
Social Media and Digital Communications: 2019-2020
This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you will be able to: Describe digital marketing and digital communications; Talk about instant, text and app-based messages in your firm; Discuss how to approach social media, both external and internal to your firm; Summarize how to handle video cont... More Info
$501Law Prac Mgmt -
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... More Info
$1252.5Prof Practice -
So You’re Interested in a Career in Securities Law
Join NYCLA’s Securities and Exchanges Committee as a panel of securities attorneys from different aspects of practice discuss how to prepare for a securities law career, including the skill sets that need to be developed, possible challenges to be confronted, career paths, work-life balance, the different aspects of practice … and more! More Info
$501Prof Practice -
Setting Up Your Securities Clients For Success
Often times, legal counsel preparing Exempt Offering Documents for their clients evaluates them primarily on legal grounds, rather than on grounds associated with how the Offerings could be best articulated from an underwriting standpoint. This course, and these educational materials, are designed to offer helpful strategies on approaching securities documentation from the standpoint of underwriting standards designed to allow effectiveness and consistency in the Offering documentation... More Info
$1002Prof Practice -
Senior and At-Risk Investors
Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected. After attending this session, you will be able to: Review FINRA Rules 2165 & 4512 Discuss elder abuse prevention and protection act Review State Report and hold laws More Info
$501Prof Practice