Washington DC CLE - All Courses

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App!

Course Media Options

Instantly Print Your CLE Certificates

All Courses
  • Capital Formation: Current Regulatory Landscape and Challenges

    Attend this session to learn more about the regulatory landscape, potential challenges, and resources for firms as it relates to capital formation. This CLE program will discuss: Discuss current regulatory landscape Discuss challenges and obstacles from firm perspective Resources for firms More Info

    $50
    1General Credit
  • Current Issues Under Regulation Best Interest and Form CRS

    In an ongoing dialogue, regulators and industry practitioners come together to delve into a wide array of current topics and delve deep into the valuable lessons learned through their experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). This collaborative discussion explores the multifaceted aspects of these regulatory frameworks, encompassing not only effective practices implemented within firms but also the examination experiences encountered along... More Info

    $50
    1General Credit
  • Hot Topics in Municipal Securities and Other Fixed Income

    This CLE program covers an assortment of key considerations surrounding fixed income securities including exam priorities, common findings and enforcement actions, fixed-income rulemaking, and an update on SEC Rule 15c2-11. This CLE program will discuss: Review of recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking and common problems uncovered during Member Supervision and Market... More Info

    $50
    1General Credit
  • Leveraging Regulatory Technology for Your Firm

    During this CLE program, panelists discuss how RegTech is impacting the securities industry as well as related benefits, risks and regulatory considerations. The session also covers different RegTech tools available to enhance compliance efforts, such as FINRA's new Machine Readable Rulebook as well as other tools involving the use of artificial intelligence and cloud computing. This session will discuss: Considerations for using Regtech tool such as those incorporating AI for regul... More Info

    $50
    1General Credit
  • Market Regulation and Transparency Services Priorities: What You Need to Know

    During this CLE session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs. This session will discuss: Discuss updates on market regulation and transparency priorities, including current initiatives and rulemaking FINRA panelists share thoughts on equities, options and fixed income compliance programs Include information on: Manipulative Trading Reg Notice 22-27 (TRACE) Fixed Income Fair... More Info

    $50
    1General Credit
  • Market Structure: Current Developments and Future Trends

    During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities. This session will discuss: Discuss current developments and future trends in the industry, including best execution guidance, payment for order flow issues and Transparency 605/606 A notice and comment period on Market Structure will wrap up around May – discuss notice... More Info

    $50
    1General Credit
  • Redefining Communications Compliance for the Digital Age

    As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communications with the public. Panelists cover lessons learned from FINRA’s ”finfluencer” targeted examinations, recent enforcement activity around off-channel communications, and how practitioners are approac... More Info

    $50
    1General Credit
  • The Evolution of Branch Office Inspections

    Join us as we delve into a thought-provoking exploration of the invaluable lessons acquired during the transformative journey towards remote branch inspections. Our esteemed panelists will engage in an enlightening discussion, unveiling a wealth of knowledge encompassing a range of crucial topics. Amidst a rapidly evolving regulatory landscape, our distinguished speakers will provide invaluable insights into the impact of FINRA inspections and other regulatory developments. Del... More Info

    $50
    1General Credit
  • The Firm Perspective on Monitoring and Protecting Against Financial Crimes

    Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering. This session will discuss: Effective practices and controls for firms in monitoring, protecting against and addressing AML, cybersecurity and fraudulent activities Provide tips to identify potential “red flags” for fraud and insider tr... More Info

    $50
    1General Credit
  • Broker Lien Rights: What Attorneys Need to Know

    This CLE course offers an overview of commercial real estate broker lien rights in 34 states, taught by a 46 year attorney who authored or lobbied on behalf of roughly half of those statutes. Topics addressed include the scope of commission claims which are protected, legislative history, the prerequisites for the lien claim, timing, and key tips on enforcement. Hear from the author of these statutes and his 31 years of lien practice in multiple states, from drafting the lien, assertin... More Info

    $75
    1.5General Credits

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options