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Oregon CLE - Securities Courses

This is a listing of Securities CLE Courses for Oregon. Please make your selection below of Oregon CLE courses. Our courses are available on Audio CD, DVD, Online, & Smartphone. Click "Add" to purchase Individual CLE Courses. For more information about a particular CLE course, click on a course name.

Securities Courses

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Ethics & Specialty
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Hot Topics in Securities Law: Part 1

This securities CLE series will provide you with a high-level overview of the latest developments in this area. Covering a wide variety of topics, this series includes the following topics: Bonds: 2017 and Beyond Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus) Effective Practices for Working With Senior Investors Hot Topics in AML Suitability Considerations Cybersecurity Threats and Loss Prevention Enforcement Developments

General Credits
7
Price$250

Hot Topics in Securities Law: Part 2

This securities CLE series will provide you with a high-level overview of the latest developments in this area. Covering a wide variety of topics, this series includes the following topics: Outsourcing and Vendor Management Detecting, Preventing, and Investigating Fraud and Misappropriation Institutional Sales and Trading Compliance Concerns Lessons Learned From Recent AML Enforcement Actions Outside Business Activities and Private Securities Transactions Social Media and Digital Communi...

General Credits
8
Price$250

Hot Topics in Securities Law: Part 3

This securities CLE series will provide you with a high-level overview of the latest developments in this area. Covering a wide variety of topics, this series includes the following topics: Ethics for Compliance and Legal Professionals Hiring and Supervising Registered Representatives in the Retail Space Strengthen Your Cybersecurity Practices (Small Firm Focus)

General Credits
3
Price$150

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...

General Credits
1.25
Price$50


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