North Dakota CLE - On-Demand Courses
This is a listing of CLE Courses for North Dakota. Please make your selection below of North Dakota 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
How to Use Data to Drive Effective Oversight
As data analytics become central to regulatory compliance, legal professionals must understand how firms use data to guide surveillance and oversight. This CLE session offers attorneys a practical look at how firms—large and small—are adopting risk-based, outcome-driven approaches to compliance through data. The course will discuss firm strategies, share FINRA’s latest intelligence resources (including contributions from StratIntel and the FIU), and explore how enhanced surveillance too... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Keeping Current With Fixed Income Securities
This CLE session offers attorneys a timely and in-depth overview of current legal and regulatory developments in the fixed income securities markets. Featuring staff from FINRA and the MSRB, the program will explore recent enforcement actions, evolving rule interpretations, and practical compliance guidance relevant to firms operating in this space. Attendees will gain insight into how current regulatory priorities are shaping supervision, reporting obligations, and firm conduct. Topics... More Info
$350.75General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Legal Risk and Regulatory Strategy: A Conversation with FINRA Senior Leaders
This CLE course, tailored for legal and compliance professionals in the financial industry, addresses key FINRA regulatory topics based on audience questions. It provides actionable insights to navigate the evolving regulatory landscape. What You Will Learn FINRA Forward Initiatives: Understand Rule Modernization, Empowering Compliance, and Cybersecurity/Fraud initiatives, and their impact on your firm. Capital Formation: Explore regulatory considerations for raising capital while ens... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Mitigating Impacts of Fraud and Scams Targeting Customers
As fraud schemes become more complex, legal professionals play a vital role in protecting investors and guiding firms through each stage of a fraud event. This CLE session offers a practical look at the full lifecycle of a fraud scheme—from investor targeting to post-incident recovery—and outlines legal strategies for effective response and prevention. This CLE course will cover how to identify common fraud tactics, engage with victims and outside parties, manage legal risks during a fr... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Communication Supervision Trends and Effective Practices
This CLE course offers a comprehensive exploration of critical issues in communications supervision, with a focus on emerging trends in off-channel communications and social media. Join industry experts and regulatory professionals as they provide practical insights into the latest supervisory challenges, share key examination findings, and discuss strategies for enhancing compliance programs. Key Topics Include: Off-Channel Communications: Examination findings and best practices for... More Info
$350.75General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Filing Requirements and Due Diligence Obligations for Public Offerings and Private Placements
Join FINRA staff and industry experts for an in-depth discussion on the regulatory landscape of registered and unregistered offerings. This CLE course covers essential filing requirements, due diligence practices, and conflict-of-interest management strategies for legal professionals. Key Topics: Filing requirements for both registered and unregistered offerings Due diligence on issuers and investors for unregistered offerings Key considerations for registered offerings, including... More Info
$350.75General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Trust Protectors: The Good, The Bad and The Ugly
This CLE course will provide a detailed analysis of the use of Trust Protectors nationally, and an overview of states that provide statutory authority for same. In this session, you will learn: Why should you use Trust Protectors? Why should you not use Trust Protectors? What powers are typically conferred on Trust Protectors? The session will also contain a review of case law highlighting some of the problems and pitfalls encountered by persons who have served as Trust Pro... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Filing a Case Under the United States False Claims Act
This CLE course delves into the intricacies of whistleblower rights and remedies under the False Claims Act (FCA), offering a comprehensive guide for attorneys, compliance officers, and professionals in federal contracting. Participants will explore the robust protections afforded to whistleblowers who uncover fraudulent practices, alongside practical insights into navigating the FCA framework. The presentation equips attendees with foundational knowledge to effectively draft and file... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Mastering Discovery: Avoiding Common Pitfalls Under the Federal Rules of Civil Procedure
The Federal Rules of Civil Procedure are intended to make it easier for litigants and courts to reach the merits of cases. That principle extends to the rules governing discovery. If used fairly, those rules (Rules 26 through 37) can help litigants figure out what evidence opposing parties intend to offer to support their claims or defenses. Yet litigators routinely respond to discovery requests by trying to fling every possible objection at them, and then continuing with some magic fo... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
A Deep Dive into Trusts: What You Need to Be Aware Of
Unlock the power of trusts in estate planning with this comprehensive CLE course. Designed for attorneys advising clients on asset management, wealth preservation, and legacy planning, this presentation explores the essential role trusts play in providing financial security, minimizing family disputes, and preparing for incapacity. Dive into the core principles of trust law, gain clarity on the distinctions between revocable and irrevocable trusts, and evaluate the strategic advantages... More Info
$501General Credit