North Dakota CLE - Finance and Banking Courses
This is a listing of Finance and Banking 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
Alternative Investments and Complex Products
This CLE program addresses developments related to alternative investments and complex products. The session emphasizes the importance of understanding product features, characteristics, and their supervisory challenges. After attending this session, you will be able to: Understand the latest regulatory developments related to alternative investments and complex products Discuss due diligence requirements and industry practices when recommending private placement and REIT securities... More Info
$350.75General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Doing More With Less: Challenges of a Small Firm Compliance Department
Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfilling their duties as officers of their firms. A strong compliance program does not have to be expensive to be effective but needs commitment from all levels. Join FINRA staff and industry practitioners for a discussion on mitigating regulatory risks and determining how to more effectively allocate resources when establishing and maintaining an effecti... More Info
$350.75General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Options Markets: Recent Regulatory Issues
Join FINRA staff and industry panelists as they discuss regulatory issues impacting options markets. After attending this session, you will be able to: Discuss recent and ongoing regulatory initiatives Discuss supervision of options trading in customer accounts Identify effective controls, procedures, and technology processes More Info
$350.75General Credit -
Live WebinarWednesday, May 29, 202411:00 AM - 12:00 PM Eastern Time (EDT)
Live Webinar: Silicon Valley Bank: Do Its Outside Directors Share in the Blame for Its Failure?
This riveting CLE course reviews the well-publicized failure in March 2023 of the high-flying Silicon Valley Bank. This bank ran out of money as a result of a quick, massive run on the bank—depositors sought their money back—immediately after the public disclosure of serious financial problems. The demise of this Bank—with $209 billion in assets, its failure was the second biggest in U.S. history—received immediate widespread analysis and attention, much of which has been focused on the qua... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
"Sweat Equity" in Small Businesses and Venture Startups: The Legal and Tax Issues
When a startup or small business first launches, it is easy to issue shares (almost) tax-free to the company founders. When a shareholder or LLC member receives shares in exchange for his or her labor, or “sweat equity,” the legal and tax issues are a bit more complicated. In this fast-paced, entertaining presentation, you will learn: whether “sweat equity” workers should be treated as employees or independent contractors; the use of restricted stock, options, warrants and other equ... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Advertising Compliance Bootcamp: Select Topics
This panel will discuss examples of content violations, disclosure and performance standards of SEC Rules, standards for variable insurance product communications, guidance with respect to options communications, presentation of rankings, the core concepts of social media and digital communications, and a list of basic “do’s” and “don’ts.” By the end of the session, you will be able to: Comply with the content standards of FINRA Rule 2210. Apply the: SEC Rules to investment company... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Advertising Compliance: Fundamentals of FINRA Rule 2210
This CLE course is designed for attorneys who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
An Introduction to Chapter 7 Bankruptcy Basics
This is an introductory course for Chapter 7 Bankruptcy. This CLE course will cover the client intake and evaluation process, basics of preparing a petition, the importance of asset investigation, and pitfalls to avoid. The course will also cover common issues that arise during and after the bankruptcy. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored
This CLE course provides an in-depth overview of the US merger control process, antitrust agency priorities, forthcoming revisions to the US merger guidelines, and highlights of recent merger challenges. The course is designed to give attorneys a comprehensive understanding of the current state of antitrust regulations in the US and the role of antitrust agencies in reviewing and challenging mergers. The course will begin by exploring the fundamentals of US merger control process, inclu... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Ask FINRA Senior Staff
During this CLE program, FINRA senior staff provide updates on key regulatory issues. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics. More Info
$501General Credit