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  • Alternative Investments and Complex Products

    This CLE program addresses developments related to alternative investments and complex products. The session emphasizes the importance of understanding product features, characteristics, and their supervisory challenges. After attending this session, you will be able to: Understand the latest regulatory developments related to alternative investments and complex products Discuss due diligence requirements and industry practices when recommending private placement and REIT securities... More Info

    $35
    0.75Law & Legal Proc.
  • COVID-19 and Due Process

    This CLE program will focus on due process issues related to litigating cases during the COVID pandemic. Topics can include issues with jury selection, public access to courts, witness testimony, use of remote/video testimony, speedy trial, and best health practices in offices and in court. The presentation is designed to be modular and specific areas can be expanded or removed based on other presentations. More Info

    $35
    0.75Law & Legal Proc.
  • Doing More With Less: Challenges of a Small Firm Compliance Department

    Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfilling their duties as officers of their firms. A strong compliance program does not have to be expensive to be effective but needs commitment from all levels. Join FINRA staff and industry practitioners for a discussion on mitigating regulatory risks and determining how to more effectively allocate resources when establishing and maintaining an effecti... More Info

    $35
    0.75Law & Legal Proc.
  • Everything You Wanted to Know About Diversity In The Legal Profession, But Were Afraid to Ask

    Diversity and inclusion are difficult topics to avoid, especially as they apply to workplace hiring. This CLE course will deal specifically with the legal profession and offer a frank discussion on the real reasons why diversity in the legal workplace is so uncommon. The course will also delve into the issue of the harm this causes both in general and to the legal profession and how to implement changes that will better serve the public at large. More Info

    $35
    0.75Ethics Credit
  • Municipal Rules and 529 Plans Update

    The MSRB (Municipal Securities Rulemaking Board) substantially amended its rules for municipal dealers’ advertising and adopted a brand new standard for municipal advisors’ advertising. The MSRB also adopted formal guidance for both dealers and advisors’ use of social media. The municipal securities advertising rules have changed. This CLE Lecture will assist in learning how the regulators are applying the modernized standards including the new rule for municipal adviser firms. The... More Info

    $35
    0.75Law & Legal Proc.
  • NYC Building Compliance and Understanding NYC Local Law 97

    NYC enacted Local Law (LL 97) in 2019 as a part of the Climate Mobilization Act. It is NYC’s goal to implement and achieve a carbon net zero environment by 2050. LL 97 sets forth carbon emissions limits for NYC buildings which are covered by the statute. Our panelists will discuss: The basics of LL 97; which buildings must comply with How to comply to get your building to meet carbon emissions limits What buildings are waived Penalties and fines assessed against non compliance And... More Info

    $35
    0.75Law & Legal Proc.
  • NYS 2023 Notary Public & Remote Online Notarization Regulations: The Basics and Applications to Real Estate Transactions

    On January 25, 2023 the new Part 182.2-182.11 of the Rules and Regulations of the Department of State (Part 182) became effective governing and changing record-keeping requirements for NYS notaries, providing identity verification procedures, authorizing electronic notarization, providing for a separate notarial commission for electronic notary services and repealing remote ink notarization. Our expert panel will discuss the new requirements, their application to real estate transactions... More Info

    $35
    0.75Law & Legal Proc.
  • Options Markets: Recent Regulatory Issues

    Join FINRA staff and industry panelists as they discuss regulatory issues impacting options markets. After attending this session, you will be able to: Discuss recent and ongoing regulatory initiatives Discuss supervision of options trading in customer accounts Identify effective controls, procedures, and technology processes More Info

    $35
    0.75Law & Legal Proc.
  • Pregnancy & Caregiver Rights in the Workplace

    Pregnancy and caregiving responsibilities present unique challenges for both workers and employers. Managers must balance the need for continuity of business operations with regulations that protect expecting mothers and new parents from discrimination and retaliation. For new moms, the stress of pregnancy is too often compounded by unlawful mistreatment from bosses who are overly concerned with their bottom line. This CLE program will include practical guidance for employment law pract... More Info

    $35
    0.75Law & Legal Proc.
  • Returning to the Firm Office: The New NOT Normal

    Hear from the National Practice Director of Legal IT Services of Konica Minolta as he discusses what firms need to consider when planning to return to the office, having a staged return, or changing to a virtual environment. Topics to be discussed include: Managing outcomes in a distributed workforce Security and technology concerns Economic impact Physical safety IT Security and best practices More Info

    $35
    0.75Law & Legal Proc.

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