Washington MCLE - All Courses
This is a listing of CLE Courses for Washington. Please make your selection below of Washington 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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Form CRS: Practical Considerations for Attorneys
Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as conflicts of interest embedded in the firm's way of doing busi... More Info
$501Law & Legal Proc. -
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
$501Law & Legal Proc. -
Fundamentals of Orthopedics for Lawyers: Anatomy, Injuries, and Common Procedures
Many legal proceedings with an injury component include an orthopedic procedure either to fix an injury or a case involving a defective product such as total knee implant, pedicle screw, or biologic, such as Norian. This course should leave lawyers with an understanding of the following items: 1. Relevant cases and procedural considerations 2. Relevant anatomy 3. Detailed explanation of common orthopedic surgical procedures More Info
$501Law & Legal Proc. -
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
$501Law & Legal Proc. -
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
$501Law & Legal Proc. -
General Brokerage and Supervision
This CLE program will address advertising sales practice issues applicable to general brokerage firms and their registered representatives. FINRA staff and industry practitioners will discuss advertising compliance and sales practice issues applicable to general brokerage firms and their registered representatives. Industry panelists explore advertising compliance challenges and explain how they address the advertising rules with respect to the creation and preparation of marketing ma... More Info
$501Law & Legal Proc. -
Getting and Keeping Cases From The Plaintiffs Perspective: Delivering on Your Promises of Performance
Our speakers will discuss how to realistically market your firm given your experience and firm resources. Not everyone can afford television and media advertising, so how to you get the word out. The panelists will also discuss ways to ensure your client relationships are maintained at a high level, and how your clients can contribute to your marketing efforts. This is a practical overview of the business of attracting clients and keeping them informed and responsive to your efforts.... More Info
$501Law & Legal Proc. -
Green Cards Based On The Violence Against Women's Act
The Violence Against Women Act (VAWA) was originally passed by Congress in 1994 and has been reauthorized several times since, most recently in 2013. This course will cover VAWA when implemented in immigration. The Violence Against Women Act (VAWA) in immigration offers vital protections to immigrant survivors of domestic violence, sexual assault, and trafficking. VAWA enables survivors to pursue self-petitions for green cards, shielding them from deportation and empowering them to bre... More Info
$501Law & Legal Proc. -
Green Cards, Visas, & Naturalization During Covid-19 - Oh, My!
This CLE Presentation provides an overview of the employment-based green card and visa categories as well as the recent Executive Orders issued by President Trump. Topics covered in-depth include EB-1, EB-2 NIW and PERM-based green cards. Topics touched upon include employment-based visas which are not affected by the Executive Orders, including E, O, P, R, TN and certain J-1 visas, as those visas may be used in lieu of the prohibited green cards and visas while the Executive Orders are enfo... More Info
$501Law & Legal Proc. -
Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)
One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent witnesses during these proceedings. What is FINRA really trying to accomplish. What should the witness try to achieve and how can the witness avoid dangerous pitfalls. More Info
$501Law & Legal Proc.