Rhode Island MCLE - On-Demand Courses

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

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  • On-Demand
    Online & iOS/Android App

    Common Examination Findings and Compliance Effective Practices for Institutional Firms

    This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies. After attending this session, you will be able to: Understand the FINRA examination process and how to create effe... More Info

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

    Detecting, Preventing and Investigating Fraud and Misappropriation

    This CLE program provides information regarding current fraud schemes from the front line regulators. After attending this session, you will be able to: Understand emerging trends in securities fraud and identify potential threats. Identify potential red flags associated with different types of financial fraud. Know whom to contact to report potential fraud. More Info

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

    The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit

    This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel. The panelists discuss the three lines of defense and how their firms are applying the risk model. After attending this session, you will be able to: Compare and contrast t... More Info

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

    Working Together to Protect Senior Investors

    This CLE program provides guidance on identifying and responding to issues and concerns of clients who are or will soon be seniors. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in protecting senior clients, and others who may experience signs of diminished capacity, from financial abuse. Panelists will share techniques around staff and advisor education as well as effect operational practices. After attending this session, y... More Info

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

    The Deposition Whisperer: How to be the Alpha and Control the Room

    This CLE program will assist attorneys in honing their deposition skills so as to better control witnesses and their adversary(s), while making their own client more comfortable. By sharing proven strategies, the program will provide an insight into how seasoned litigators and successful trial lawyers conduct depositions. The program further aims to help attorneys capitalize on opportunities often wasted in discovery, and in the process, maximize their chances of success in overall sc... More Info

    $125
    2.5Total Credits
    0.5 Ethics
  • On-Demand
    Online & iOS/Android App

    So Your Commercial Borrower Is In Default? Protecting your Security Interest

    Banks, commercial lenders, private investors and loan holders are confronted with a number of important decisions when business owners default on their loan obligations and/or fall behind on their mortgage payments for their commercial property. New Jersey has seen an influx of foreclosures over the recent years. One way that lenders can protect their security interests in their respective properties is by instituting foreclosure proceedings to recover the properties at issue and engage in var... More Info

    $125
    2.5General Credits
  • On-Demand
    Online & iOS/Android App

    Defending The Notorious: A View From the Trenches

    Along with the public’s fascination with notorious figures is their fascination with the attorneys who represent them. How can they represent such nefarious individuals? Why would they try to keep them from paying for their crimes? Foremost attorneys Ben Brafman, John Lauro and Jeffrey Schwartz take up this question and others in this riveting CLE course on the defense of notorious characters. The course will explain how an attorney builds a relationship with such a figure, how to design a str... More Info

    $125
    2.5General Credits
  • On-Demand
    Online & iOS/Android App

    Breaking Up the Home Without Losing the House: Intersection of Foreclosure and Divorce

    It took two people to get the house, now that they are breaking up, how does one of them keep it? How do you keep one from sabotaging the other? What happens when one has to decide between the kids and the mortgage? All too often a foreclosure case involves a divorce, or a divorce involves a foreclosure. Major changes to divorce law took effect recently and more of these changes are relevant to a foreclosure action than one would think. This CLE program will review what divorce practi... More Info

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

    Venue Want to be Somewhere Else: Beginner's Guide to Arbitration

    Arbitration isn't the panacea that some people think it is, and it can be more expensive than a court fight can. How much power do arbitration panels in Illinois have? How do you get out of a contract with an arbitration clause? How do you pick a good arbitration panel? What are the industry biases that arbitration panels demonstrate or are affected by? This CLE course will review the Illinois Uniform Arbitration Act (710 ILCS 5/1 et. seq.), and those contracts of yours that are not inv... More Info

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

    Franchise Law: Representing Franchisees from Courtship to Divorce

    This CLE course will explore the difficulties of representing franchisees, both pre-sale, in-term, and post-term, given the disparity in negotiating power, and the way franchise documents are drafted. The Course will look at federal and state law, and provide advice to attorneys representing franchisees nationwide. More Info

    $50
    1General Credit

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