Washington DC CLE - All Courses

This is a listing of CLE Courses for Washington DC. Please make your selection below of Washington DC 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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  • Effective Processes for Suspicious Activity Monitoring and Investigations

    This CLE program provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an understanding of the anti-money laundering regulations and steps firms can take to protect their organization. After attending this session, you will be able to: Understand AML program requirements. Discuss efficient practices on identifyi... More Info

    $50
    1General Credit
  • Implementing a Risk-Based Program and Identifying Red Flags

    This CLE program provides guidance on implementing an effective risk-based branch office inspection program. After attending this session, you will be able to: Understand FINRA’s Member Regulation Department’s approach to executing risk-based cycle and branch exams. Gain insight into how member firms prepare for, facilitate and learn from risk-based regulatory examinations along with effective practices from the FINRA perspective. Understand how FINRA uses technology, tools and data... More Info

    $50
    1General Credit
  • Suitability, Supervision and Surveillance

    This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with the suitability rule. They also discuss the intersection of suitability requirements with recent timely industry issues, such as senior customers, sales of complex products, IRA rollovers,... More Info

    $50
    1General Credit
  • 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
  • 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
  • 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
  • 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
  • International Taxation: A Primer for Business and Immigration Lawyers

    This CLE program will be a discussion on inbound taxation (foreigners doing business or investing in the U.S.). You will learn the important aspects such as income taxes applicable to non-resident aliens, pre-immigration planning, FIRPTA, and ownership structures for non-resident aliens. The discussion will also touch on the changes to international taxation brought about by the new tax act. More Info

    $50
    1General Credit
  • 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

    $100
    2General Credits
  • 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
    2.25General Credits

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