Ohio CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Ohio. Please make your selection below of Ohio 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 Firm Perspective on Monitoring and Protecting Against Financial Crimes
Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering. This session will discuss: Effective practices and controls for firms in monitoring, protecting against and addressing AML, cybersecurity and fraudulent activities Provide tips to identify potential “red flags” for fraud and insider tr... More Info
$501General Credit -
The Inside Scoop on Insider Threats and Cybersecurity
This highly informative CLE session will delve into the multifaceted nature of insider and related cyber threats. In an increasingly interconnected digital landscape, it is vital for organizations to comprehend the compounding risks posed by these threats, understand where they can manifest, and proactively develop strategies to detect and mitigate insider activity. Throughout the session, our expert panelists will illuminate the evolving landscape of cyber threats, shedding light on th... More Info
$501General Credit -
Variable Products & Retirement Planning
Join FINRA staff and industry practitioners as they discuss variable and retirement planning productions. The panelists also explore frequently asked questions and discuss regulatory challenges. Topics Discussed: Summarize how to create a variable product communication with respect to content and performance. Address selected topics, such as supplemental hypothetical illustrations, comparisons and complexity of contracts and investment options. Understand the legal perspective on th... More Info
$501General Credit -
Vendor Management: Due Diligence and Oversight
During this session FINRA staff and industry practitioners walk through various important considerations when choosing new vendors. Panelists discuss finding a technical solution that is a good fit for your firm, tips on performing an efficient due diligence review, contract issues, and advice on implementing the new software. After attending this session, you will be able to: Understand the limitations and risks of technology to find the right solution for your business needs Develop... More Info
$501General Credit -
Building a Successful Solo Mergers and Acquisitions Practice
This CLE program will focus on the tools needed to add a successful mergers and acquisition practice in your firm.. Take a step-by-step look at key issues including: what is an M&A practice, flowcharts, checklists, practice tips, software suggestions and client management hints. More Info
$501.25General Credits -
Defining Antitrust Markets in Platform Industries
The effects of the Supreme Court’s landmark antitrust decision in Ohio v. American Express continue to reverberate. Platforms have occupied the antitrust spotlight for several years now, but litigation unpacking and applying Amex to platforms is still in its early stages. This CLE course is designed to update generalists, antitrust practitioners, and inside counsel alike on how lower courts are interpreting and applying Amex when defining antitrust markets involving platforms. The prog... More Info
$501.25General Credits -
GRAT and Valuation Planning After CCA 202152018: What Practitioners Need to Know
CCA 202152018, released on December 30, 2021 has critical impact on grantor retained annuity trusts (GRATs). The CCA addresses a common valuation challenge: what consideration should be given to a potential sale in valuing an asset? Often there is a long continuum from: no sale, to discussions with potential buyers, to a letter of intent, to a binding contract, etc. Where the business is on this continuum will affect how an appraiser evaluates the possible implications of the potenti... More Info
$501.25General Credits -
How to Handle a Securities Regulatory Investigation
How you handle a securities regulatory investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. It is also important to understand your ethical obligations before, during, and after an investigation, as representation lines may become blurred. During this CLE, our panel of experienced practitioners will discuss: the various stages of a securities regulatory investigation the initial contact demand for documents gathering... More Info
$501.25General Credits -
Skip Tracing for Lawyers
Attorneys in most areas of practice, especially trust and estates, personal injury, malpractice, debt collection and real estate law occasionally encounter situations requiring the location of missing people. This includes heirs, beneficiaries, witnesses, shareholders and debtors. In many instances, with the proper knowledge, resources and creativity, lawyers may be able to locate these absentees without having to retain the services of private investigators or skip tracers. This conti... More Info
$501.25General Credits -
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