Washington MCLE - Business Law Courses
This is a listing of Business Law 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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Enforcement Developments
This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities and provide a view into the process. Panelists also provide guidance on regulatory and compliance practices. More Info
$501Law & Legal Proc. -
Exempt Offerings
This CLE program focuses on industry and regulatory developments related to Reg D and Reg A+ offerings. During the session, panelists discuss common concerns and recent regulatory findings. Speakers provide practical information and effective practices for firms offering these products to retail investors and discuss Regulatory Notices 20-21 and 21-26. More Info
$501Law & Legal Proc. -
Financial Planning for Lawyers
While everyone understands the importance of financial planning, most presentations are centered around retirement planning. However, attorneys have other concerns. Right out the gate they are burdened with significant student loan debt. They start to make good money, but are paying more in taxes. As a result, their children are less likely to qualify for financial aid so they have to weigh their own retirement against their kids’ education. Depending on their comp structure, salary may be dis... More Info
$501Law & Legal Proc. -
FINRA’s Examination and Risk Monitoring Program
Attend this session to learn about the firm grouping structure and lessons learned during implementation. During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what firms can expect going forward. After attending this session, you will be able to: Understand new organizational structures in the Exam, Specialist and Risk Monitoring Programs Discuss Risk Monitoring activities Discuss what firms can... More Info
$501Law & Legal Proc. -
Five Steps to Protect Your Firm from Catastrophic Cyber Attacks
In this CLE program, you will learn the 5 critical steps needed to protect your law firm and client data from malicious cyber attacks. These crucial steps will dramatically increase your overall security stance and will lessen the chances of you becoming a victim to cybercriminals. Cyber attacks are on the rise and every business is at risk. 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. -
Handling Nonprofit Board Disputes
Most nonprofit Board members have never served on a nonprofit Board before and do not understand their legal responsibilities. This CLE program will discuss Board responsibilities and fiduciary duty, common disputes between Board Members, Founder Syndrome, and what to do if everyone quits. This program will benefit outside counsel and any attorney asked to advise Boards regarding their disputes and difficulties, as well as in-house counsel who need to understand when to call for help.... More Info
$501Law & 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
$501Law & 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
$501Law & 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
$501Law & Legal Proc.