North Dakota CLE - Securities Law Courses
This is a listing of Securities Law 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
Current Communications with the Public Regulatory Issues
Join FINRA staff and industry panelists for an in-depth conversation on current advertising regulatory issues, including the new Investment Advisers Act Marketing Rule. Topics Discussed: Learn about recent communications rule changes and proposals. Understand how the new IA Marketing Rule will impact firm communications. More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Exempt Offerings
This CLE program focuses on industry and regulatory developments related to Reg D and Reg A+ offerings. During the session, panelists discuss common concerns and recent regulatory findings. Speakers provide practical information and effective practices for firms offering these products to retail investors and discuss Regulatory Notices 20-21 and 21-26. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Fintech Firms: Communications Compliance Topics
Join FINRA staff and industry panelists as they share insights on challenges and effective practices related to communications compliance for Fintech focused firms. The panel covers topical issues such as digital engagement practices, mobile applications, integrated product offerings, and crypto assets. Panelists answer questions and provide tips on the use of technology to help navigate this quickly evolving area. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Investment Companies Current Topics
Join FINRA staff and industry panelists as they discuss topical advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. Panelists cover the compliance challenges associated with complex products such as single stock ETFs, crypto futures funds, non-transparent ETFs and ESG focused investments. The panel also includes discussions regarding regulatory interpretations and compliance tips. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Managing Your Client’s Series A Offering of Securities: A Step by Step Guide
A startup or early-stage company goes through a number of informal financing rounds involving company founders, friends and family members, and local angel investors. But if the company’s business plan is successful, it will be ready for its first round of venture capital, known as the “Series A Round” or “Series A Offering”. In this fast-paced, entertaining CLE presentation, you will learn the steps involving in managing a Series A offering of securities, including: reviewi... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Cryptomorphing The Legal Profession: Musings From A Stacker In The Rye
The goal of this presentation is to expose lawyers to the rabbit hole of blockchain technology and cryptocurrency, and the effects and potential effects on the legal profession. We will discuss topics ranging from the acceptance of cryptocurrency as payment for legal services to the impact of blockchain technology and cryptcurrency projects on payment systems security transactions, smart contracts, and public record filings. The presentation will be successful if at the end a p... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings
There is much confusion regarding the many cryptocurrencies available and even more about blockchain technology; particularly in light of recent market upheavals. Global observers are keen to determine whether cryptocurrencies and the blockchain technology are taking us in a new currency direction, or whether crypto is a fading fad. The answers to these questions may lie in the legal analysis. What are the legal challenges and do the challenges doom the blockchain? Or can ou... More Info
$501General Credit