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.
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!
Instantly Print Your CLE Certificates
-
Regulation of Banks in the U.S.
This CLE course focuses on the regulation of banks in the U.S. It covers the significant bank regulatory laws from the Great Depression to the 2010 Dodd Frank Act, as well as both federal and state regulatory agencies having jurisdiction over banks. It also discusses various regulatory compliance requirements, including anti-money laundering and several Dodd Frank Act requirements; trends in governmental enforcement actions against banks; the recurring cycles of de-regulation resulting in fina... More Info
$751.5Prof Practice -
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
$501Prof Practice -
RegTech in Advertising and Compliance and Beyond
RegTech (Regulatory Technology) is more than a buzzword, it is a real movement that is already having an impact on regulatory compliance. This CLE lecture will give you insight on innovative technologies being used to develop more effective, efficient, and risk-based compliance programs in the area of communications with the public. This CLE lecture will discuss how RegTech tools are helping address new challenges and regulatory implications associated with supervision, vendor management, da... More Info
$501Prof Practice -
Redefining Communications Compliance for the Digital Age
As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communications with the public. Panelists cover lessons learned from FINRA’s ”finfluencer” targeted examinations, recent enforcement activity around off-channel communications, and how practitioners are approac... More Info
$501Prof Practice -
Recent Important Civil Cases of The Virginia Supreme Court For All Civil Litigators
This CLE program will review 44 written summaries of recent opinions of the Virginia Supreme Court of importance for attorneys practicing civil law in Virginia. These cases cover a wide range of topics including torts, wrongful death, civil rights, contracts, economic loss rule, family law, civil procedure, evidence, causes of action, and affirmative defenses, including immunity and resjudicata/collateral estoppel. Each summary includes an alert which all lawyers should consider from t... More Info
$1002Prof Practice -
Raising Capital in the Internet Age: The Current State of Crowdfunding
The laws governing fundraising over the Internet are changing all the time, and new SEC rules recently took effect. On October 30 2015, the SEC issued final regulations to implement Title III of the JOBS Act. Regulation CF will permit a person or company to offer securities over the Internet for up to $1 million in a 12 month period. Regulation CF now joins two prior regulations implementing the JOBS Act: the regulations permitting Internet equity offerings only to accredited investors (a new... More Info
$751.5Prof Practice -
Purchase Or Sale Of A Business, Or Part Of A Business: Documents Boot Camp
This CLE program will drill down into the many documents that an attorney often needs to prepare or review in connection with the purchase or sale of an entire business or of an ownership interest in a business. This will include the main documents which are usually one of: (1) Asset Purchase Agreements, (2) Stock Purchase Agreements or (3) Membership Interest Purchase Agreements and the circumstance when each type of main Agreement will be employed. We will also explore the many “side... More Info
$1503Prof Practice -
Private Placements: The Latest Regulatory Developments and Compliance Considerations
Join panelists as they perform a deep dive into private placement regulatory developments including regulatory notice 23-XX as well as compliance obligations and best practices related to Reg BI, sales materials, due diligence, conflicts of interest and more. This session will discuss: Review regulatory developments, compliance obligations and effective compliance practices related to private placements, including discussion about Reg BI, Communications, Due Diligence and Conflicts of... More Info
$501Prof Practice -
Privacy and Cyber Breaches: Are You Next?
For businesses large and small, compliance with federal, state, and foreign privacy laws and regulations has become an essential business obligation. These laws govern a company’s collection, storage, use, sharing and disposal of personally identifiable information (“PII”), protected health information (“PHI”), and payment card information (“PCI”). A company’s innocent or inadvertent failure to abide by these laws, or its failure to timely and fully disclose how it performs such tasks,... More Info
$751.5Cybersecurity -
Preparing the Estate Tax Returns and Related Post-Mortem Tax Issues
This CLE course will introduce attorneys to the preparation of the Federal Estate Tax Return, Form 706. Because of portability, filing this return on the death of the first spouse has become very important. In fact, it might be malpractice not to file this when the first spouse dies, even if the combined estates of both spouses (at the time of the first death) is under the threshold amount for single spouse (currently $5.45 million). In addition to an overview and more detailed explanation of... More Info
$751.5Prof Practice