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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  • High-Risk Activity Impacting Retail Investors

    Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you will be able to: Learn effective practices for identifying and mitigating risk in the hiring process. Summarize ways to identify indications of high-risk activity as part of ongoing supervision, and ways to mitigate such risk, including heightene... More Info

    $50
    1Law & Legal Proc.
  • Hook, Line and Sinker: Tackling More Challenging Disability Cases

    This CLE program will explore the benefits that are available to adults and children from the Social Security Administration that have a medical determinable impairment that prevents them from engaging in work activity or functioning for a period of 12 months or more. In particular, we will focus on the lesser known benefit options available including benefits for children, benefits for widow/widowers, benefits for disabled adult children and benefits for individuals with work history complica... More Info

    $50
    1Law & Legal Proc.
  • Horsesense and Nonsense: Why Equine Law is Not That Simple

    Avery S. Chapman, founding Chair of The Florida Law Equine Law Committee, will share common and often unusual intersections of Law and Horses. The unique nuances of the equine industry often lead attorneys into unwary traps when counsel believes they can quickly become proficient in this area of law. This CLE presentation will address Equine Law issues, providing strategies and solutions(TM) concerning horses, equine business concerns and selected related real estate issues. This cou... More Info

    $50
    1Law & Legal Proc.
  • Hot Topics in Beth Din Jurisprudence

    Rabbinical court arbitrators charged with resolving contemporary disputes must are often faced with the challenge of applying age old Jewish law doctrines to relatively new legal and commercial concepts. This CLE course explores the substantive Jewish and secular law regarding defamation claims and intellectual property litigation, and how batei din (rabbinical courts) navigate these areas. More Info

    $50
    1Law & Legal Proc.
  • Hot Topics in FinTech

    Join FINRA staff and industry practitioners as they discuss the growing area of FinTech (Financial Technology). The session includes a discussion on new and innovative ways firms are integrating fintech into their business models and the importance of a strong compliance structure to address regulatory obligations. After attending this session, you will be able to: Gain a perspective on how “FinTech” is defined by various industry stakeholders Discuss the supervisory challenges of t... More Info

    $50
    1Law & Legal Proc.
  • Hot Topics in Municipal Securities and Other Fixed Income

    FINRA and MSRB staff discuss 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 Regulation reviews. After attending this session, you will be able to: Review recent enforcement actions on 529s and muni shorts Discuss topics related to municipal securities Discuss recent and ongoing regulatory initiatives More Info

    $50
    1Law & Legal Proc.
  • 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
    1Law & Legal Proc.
  • How Defense Attorneys Can Effectively Use The Stand Your Ground Law To Win Criminal Cases

    This CLE will provide an overview of Florida’s Stand Your Ground Law and will inform attorneys how they can use the law to their client’s benefit. The CLE will cover the history of the statute and the current state of the law. The presentation will also provide an overview of stand your ground motion hearings. Finally the presentation will provide a real world example of how the statute was used successfully in a recent homicide trial. More Info

    $50
    1Law & Legal Proc.
  • How FINRA Rules Get Made, Reviewed and Updated

    Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview and discuss upcoming rule changes, proposals and other regulatory initiatives. Upon completion of this CLE program you will be able to: Discuss the Retrospective Rule Review Process; Review how the advisory committees are used; Identify and under... More Info

    $50
    1Law & Legal Proc.
  • How Lawyers Can Represent Brokers Beyond Their State Licensing

    Brokers want to make deals throughout the nation, and chafe at the idea that their single state license will limit their ability or right to legally work on deals in other states. License portability-which is NOT license reciprocity-will allow this to occur, when the broker cooperates with a licensee of the state where the property is located. However, different states have different limitations on just what these out of state brokers can legally do. Learn how to find, inter... More Info

    $50
    1Law & Legal Proc.

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