Tennessee CLE - All Courses
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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
$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 -
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
$501General Credit -
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
$501General Credit -
Litigating False Claims Act Cases
The False Act (FCA) is a statute allowing citizens to sue in the name of the government to recover monies owed because of fraud or "false claims." FCA cases are filed under seal and not initially served on the Defendants; this gives government lawyers an opportunity to investigate the claims and determine whether to intervene and thus take responsibility for the action. In recent years there has been an expansive use of the statute and in many cases the government is leaving it to private co... More Info
$501.08General Credits -
Asset Protection for Cryptocurrency
Asset Protection is in high demand in our increasingly litigious world. Cryptocurrency is well regarded as the currency of the future. Cryptocurrency is increasingly becoming a targeted asset in many lawsuits. Blockchain technology can make it easy to see the amount of cryptocurrency an individual owns. This course will teach the various strategies for protecting cryptocurrency from being lost due to a lawsuit. More Info
$501General Credit -
Lost in Translation The Pitfalls of Obtaining Testimony Across Boundaries of Language, Culture and Class
Interpretation is an art not a science. That's why obtaining testimony is very often like an under-educated laborer from another universe describing the truth to an artist who then must describe it to an engineer. As an attorney even if you are a native speaker of the language of the witness a lot can get lost in the translation. This course will explain many of the pitfalls and limitations of interpretation throughout our judicial system and then illuminate some of the most common iss... More Info
$1753.88General Credits -
Recent Trademark Decisions Practitioners Should Know About
This CLE program will review significant recent trademark decisions from the Federal Courts and the Trademark Trial and Appeal Board that trademark practitioners should know about. Last year, these trademark tribunals visited an array of trademark issues, from protective orders and color marks to standing, territoriality, initial interest confusion and more. Decisions reviewed will include: Brooklyn Brewery Corp. v. Brooklyn Brew Shop, LLC Chutter, Inc. v. Great Management Group, LLC... More Info
$501.07General Credits -
Walk Away With The Check: How To Win A Business Divorce Case
Helping a client grapple with a bad business partner requires expertise in litigation, negotiation and corporate governance. Millions of dollars and your client’s life’s work, hang in the balance. Avoid costly mistakes, while representing your client like a bulldog. In this fast-moving program, you will learn: 5 corporate document provisions that control partner disputes How to recognize when the time is right for partners to part ways How to create a strategic plan to win a busin... More Info
$1002.02General Credits -
E-Discovery’s Emerging Ethical Challenges
As the need to produce and examine ESI grows, attorneys will be expected to be technologically educated and sophisticated. This presentation will review the challenges of preserving and gathering this ESI, dealing with the clients use of social media, and the ethical pitfalls that need to be avoided. This CLE will address the ABA's Model Rule 1.1 and the obligation on the part of attorneys. More Info
$501Ethics Credit