Rhode Island MCLE - On-Demand Courses

This is a listing of CLE Courses for Rhode Island. Please make your selection below of Rhode Island 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.

MCLE Courses Available Online & iOS/Android App and with Live Webinars!

Course Media Options

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  • On-Demand
    Online & iOS/Android App

    Remote Supervision

    Join FINRA staff and industry panelists as they discuss what they have learned from working remotely. During the session, panelists discuss effective controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment. After attending this session, you will be able to: Identify controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment Review lessons learned and... More Info

    $50
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Restricted Firm Obligations: What You Need to Know

    Join FINRA staff as they discuss Rule 4111 (Restricted Firm Obligations). During the session, panelists review the new obligation and criteria for identification. After attending this session, you will be able to: Review new obligations Identify controls, procedures, and processes that member firms are incorporating to address these obligations Review identification metrics thresholds Discuss restricted deposit accounts More Info

    $50
    1General Credit
  • On-Demand
    Online & iOS/Android App

    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

    $50
    1General Credit
  • On-Demand
    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

    $50
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Hot Topics in FinTech

    Join FINRA staff and industry practitioners as they discuss the growing area of FinTech (Financial Technology). The session includes a discussion on new and innovative ways firms are integrating fintech into their business models and the importance of a strong compliance structure to address regulatory obligations. After attending this session, you will be able to: Gain a perspective on how “FinTech” is defined by various industry stakeholders Discuss the supervisory challenges of t... More Info

    $50
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Love and Legislation Makes a Family: The Child Parent Act 1 Year In

    Despite its reputation for legislative progressiveness, prior to the passage of the Child Parent Security Act (CPSA), New York had one of the nation’s most antiquated surrogacy laws featuring a ban on enforceable compensated surrogacy arrangements. That ban, which imposed harsh penalties on those participating in compensated surrogacy arrangements, resulted from the infamous Baby M case which involved a contest between the surrogate (who had supplied the egg used in conception) and the child... More Info

    $75
    1.5General Credits
  • On-Demand
    Online & iOS/Android App

    Senior and At-Risk Investors

    Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected. After attending this session, you will be able to: Review FINRA Rules 2165 & 4512 Discuss elder abuse prevention and protection act Review State Report and hold laws More Info

    $50
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Social Media and the Rise of the Finfluencers

    Human behavior has evolved as a result of the pandemic. For the financial services industry, the rapid acceleration of digital adoption has dramatically changed the way we engage with each other and our clients. Join FINRA staff and industry panelists as they discuss how social media and social media influencer are affecting the industry. Panelists discuss new developments, effective compliance practices, and how their firms are managing social media obligations. After attending t... More Info

    $50
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Navigating E-Discovery and Its Emerging Trends

    This CLE course will review some of the emerging trends in e-discovery including the impact of the Covid-19 pandemic. The course will include an in depth review and practical tips when dealing with issues relating to the inadvertent or intention destruction of electronic data. We will also discuss some of the emerging trends that practitioners encounter such as the expanding volume of data and the sophistication of analytics, Technology Assisted Review, and AI. More Info

    $50
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Cutting Through the Noise: A Primer on Title VII Protections, Sexual Harassment, Racial Discrimination in the Workplace

    In light of the plethora of sexual harassment and racial discrimination incidents we hear about in the media, this course has been developed to cut through some of the misconceptions surrounding the legal aspects of these matters and provides key information about legal responsibilities relating to workplace practices. This is an ideal primer for newer attorneys or those who do not practice in the employment law arena. We will cover the basic protections against discrimination in the w... More Info

    $75
    1.5General Credits

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