Tennessee CLE - All Courses
This is a listing of CLE Courses for Tennessee. Please make your selection below of Tennessee 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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Ethical Issues Concerning Retainer Agreements, Website Management, and Termination Letters
This CLE program will present and discuss issues concerning the engagement of clients through effective Engagement Letters, creating and maintaining firm websites to minimize any potential representation risks as well as determining when termination of the Attorney/Client relationship is proper (or required). Participants will be introduced to appropriate forms and strategies when facing the request of representation by a potential client. More Info
$501Ethics Credit -
Exempt Offerings
This CLE program focuses on industry and regulatory developments related to Reg D and Reg A+ offerings. During the session, panelists discuss common concerns and recent regulatory findings. Speakers provide practical information and effective practices for firms offering these products to retail investors and discuss Regulatory Notices 20-21 and 21-26. More Info
$501General Credit -
False Claims Act and COVID-19
This CLE course will provide an update on COVID-19 Litigation, including trends, insight, funds, and success, with a particular focus on whistleblower litigation. The primary statutes under which relief from government fraud, waste, and abuse, may be sought are the federal and state False Claims Acts (“FCAs”). This course will provide attendees with an overview of the whistleblower laws, the potential to use the False Claims Act as a tool to fight COVID-19 fraud update on the types of... More Info
$501General Credit -
Family Based Immigration and Naturalization
This program will provide an overview of Family-Based Green Card and Non-Immigrant Dependent visas. This CLE course will review the qualifying relationships, eligibility issues, time-frames, filing processes, and work and travel issues while waiting for the green card for certain applicants. The Instructor will discuss the pros and cons of filing Adjustment of Status and Consular Processing, among other issues. This CLE will address Conditional Permanent Residence, when Permanent Resi... More Info
$501General Credit -
Financial Responsibility Rules and Relevant Touchpoints
In this informative CLE course, panelists will discuss topics involving SEC and FINRA financial responsibility rules, including regulatory obligations of introducing, intermediary, carrying and clearing firms under FINRA Rule 4311; SEA Rule 17a-4; and other topics including liquidity and fully-paid lending. More Info
$501General Credit -
Fintech Firms: Communications Compliance Topics
Join FINRA staff and industry panelists as they share insights on challenges and effective practices related to communications compliance for Fintech focused firms. The panel covers topical issues such as digital engagement practices, mobile applications, integrated product offerings, and crypto assets. Panelists answer questions and provide tips on the use of technology to help navigate this quickly evolving area. More Info
$501General Credit -
Franchise Law: From Contract Negotiation to Litigation
This CLE will cover franchise agreements; from negotiation of the terms prior to signature as well as issues to address during the course of litigation and/or termination. Attendees will be guided through how to negotiate specific provisions that will affect a client’s rights, as well as which areas of the agreements are typically litigated and how to demand and get the necessary information to effectively represent clients in court. More Info
$501General Credit -
Fraud Detection and Prevention
Attend this session to hear about recent and noteworthy fraud cases. This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the brokerage industry, provide tips to identify potential “red flags,” and discuss what to do if a fraudulent scheme is suspected. After attending this session, you will be able to: Understand emerging trends in this new COVID environment in sec... More Info
$501General Credit -
Gamification, Mobile Apps and Digital Engagement
Panelists share insights into the developing world of digital engagement practices, including gamification, in broker dealers’ mobile apps, marketing, and online platforms. Attend this session to hear how compliance and regulatory experts are responding to the rapidly developing use of data analytics to drive digital communications. Panelists discuss risks and benefits of digital engagement features and how to supervise them effectively. After attending this session, you will be... More Info
$501General Credit -
Gamification, Social Media, and Digital Communications Perspectives
Attend this session to hear how regulatory experts are evaluating the rapidly changing world of digital communications to capture investors’ attention and influence their behavior. The panel discusses risks and benefits of gamification features on broker-dealers’ apps and websites, and also considers the effects of digital marketing, notifications and alerts, and the increased impact of social media during the pandemic and beyond. More Info
$501General Credit