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Wisconsin CLE - All Courses
This is a listing of CLE Courses for Wisconsin.
Please make your selection below of Wisconsin CLE courses. Our courses are available Online and with iOS/Android App.
Click "Add" to purchase Individual CLE Courses. For more information about a particular CLE course, click on a course name.
This CLE program discusses rules governing alternative investments, REITs and private placements. This session emphasizes the importance of understanding product features, characteristics and possible risks for purposes of suitability determinations. This program will also provide guidance on steps firms can take to comply with their due diligence and supervisory obligations. Panelists discuss the features of popular and new forms of complex products and their role in portfolio diversification...
This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking corrective action and updating compliance procedures and practices based on lessons learned from common examination deficiencies.
After attending this session, you will be able to:
Understand the FINRA examination process and how to create effe...
This CLE program provides information regarding current fraud schemes from the front line regulators.
After attending this session, you will be able to:
Understand emerging trends in securities fraud and identify potential threats.
Identify potential red flags associated with different types of financial fraud.
Know whom to contact to report potential fraud.
This CLE program provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an understanding of the anti-money laundering regulations and steps firms can take to protect their organization.
After attending this session, you will be able to:
Understand AML program requirements.
Discuss efficient practices on identifyi...
This CLE session provides an overview of the newly restructured Enforcement department, including how the department works with examination and surveillance groups across FINRA to develop Enforcement matters. The session will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforcement’s decision-making. Panelists h...
This CLE program provides guidance on implementing an effective risk-based branch office inspection program.
After attending this session, you will be able to:
Understand FINRA’s Member Regulation Department’s approach to executing risk-based cycle and branch exams.
Gain insight into how member firms prepare for, facilitate and learn from risk-based regulatory examinations along with effective practices from the FINRA perspective.
Understand how FINRA uses technology, tools and data...
This CLE program provides updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income compliance programs.
After attending this session, you will be able to:
Understand Market Regulations’ initiatives, priorities and significant matters.
Discuss major developments in equities, fixed income and options markets surveillance.
D...
This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effective practices regarding policies and procedures for identifying, documenting and disclosing OBAs. FINRA will also discuss the recently proposed rule changes related to OBAs and PSTs.
After attending this session, you will be able to:
Unde...
This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with the suitability rule. They also discuss the intersection of suitability requirements with recent timely industry issues, such as senior customers, sales of complex products, IRA rollovers,...
This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their firms are defining the roles of supervisors and compliance personnel. The panelists discuss the three lines of defense and how their firms are applying the risk model.
After attending this session, you will be able to:
Compare and contrast t...
This CLE program provides guidance on identifying and responding to issues and concerns of clients who are or will soon be seniors. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in protecting senior clients, and others who may experience signs of diminished capacity, from financial abuse. Panelists will share techniques around staff and advisor education as well as effect operational practices.
After attending this session, y...
This CLE program will discuss the benefits of offering a free consultation to potential clients along with strategies and red flags to look for to maximize your time as an attorney. The free consultation is a great way to get in front of the potential client and it is also an opportunity to qualify them as a client you would like to help. We will look at a proven game plan to conduct a meeting in 30 minutes and walk away with a client you feel confident you can help get to financial freedom....
This CLE course will discuss the Fair Debt Collection Practices Act, a consumer credit protection act that aims to promote fairness in the collection of debts. Commonly referred to as FDCPA, these violations are more prevalent then you think. By listening to your clients and educating them on the violations, you can uncover another way to protect them while providing additional revenue for your practice. We will detail a streamlined process that has proven success in going after these violations...
This CLE course will discuss various issues concerning payments made by or through banks. Covered are laws concerning check and wire transfer payments made by and to consumers and businesses. Discussed are claims concerning such payments made against banks, and various bank defenses applicable to such claims. Also discussed are laws concerning payments collected through the Federal Reserve Banks and government regulation of payments concerning internet gambling.
In the last year, companies facing an already competitive hiring market have faced new rules and new challenges in recruiting and retaining global talent. What have been some of the most important lessons from the last year and how should companies prepare for the year ahead? This CLE program will touch on Executive Orders and USCIS policy shifts that impact work visas including H-1B visas, business travel, and overall enforcement.
This CLE course identifies and aims to give practical advice on the “hot button” issues that arise in landlord-tenant contexts. For landlords seeking to manage risks, on issues like tenant screening and security deposits, while avoiding common pitfalls such as discrimination claims and unenforceable penalties, this course identifies and gives practical examples of key lease provisions that will help a landlord effectively enforce its rights and remedies. The ethics of representing landlords...
This CLE course will provide a broad overview regarding the wealth of opportunities that exist when thinking about investing in the cannabis industry, including breakdowns and industry overviews with current trends in mergers and acquisitions. This is followed by a discussion of regulatory and other key issues for U.S. investor clients including banking, 280E, and lack of research. The course continues with information about investing in cannabis abroad with a special focus on Canada and the p...
This CLE course will review how insurance works (or doesn’t work) in cannabis related business and what options attorneys have for advising their clients appropriately. Ms. Greenberg touches upon the types of insurance needed within cannabis industry niches.
This CLE course begins with an overview of marijuana use statistics as they relate to the workplace. Ms. Gluck focuses the discussion on the employer challenges that come with contradictions and overlapping rules regarding federal and state employment protections. Finally, Ms. Gluck shares insight regarding employer obligations to accommodate and provide leave for medical marijuana use, as well as best practices for employment policies.
This CLE course begins with an overview of how intellectual property law works and the various protections available through trademarks,
copyrights, patents and licensing. Ms. Bernstein explains what types of cannabis business are federally prohibited from trademark protection and offers insight into other avenues available – and the issues that might arise – when you advise your clients on protect their cannabis related assets.
This CLE program will assist attorneys in honing their deposition
skills so as to better control witnesses and their adversary(s), while making their own client more comfortable. By sharing proven strategies, the program will provide an insight into how seasoned litigators and successful trial lawyers conduct depositions.
The program further aims to help attorneys capitalize on opportunities often wasted in discovery, and in the process, maximize their chances of success in overall sc...
Along with the public’s fascination with notorious figures is their fascination with the attorneys who represent them. How can they represent such nefarious individuals? Why would they try to keep them from paying for their crimes? Foremost attorneys Ben Brafman, John Lauro and Jeffrey Schwartz take up this question and others in this riveting CLE course on the defense of notorious characters. The course will explain how an attorney builds a relationship with such a figure, how to design a str...
The Supreme Court of Alaska just held that Alaska could not require that proceedings relating to the transfer of assets to an Alaska self-settled trust be before an Alaska court. The Court did not invalidate self-settled trusts created in that state as some commentators have suggested. The viability of Alaska (and other state) self-settled trusts shielding trust assets from the claims of the grantor’s creditors was not disturbed.
This CLE program will explain why, with such high tempo...
This CLE program, which will include lawyers from many countries discussing using influencers, conducting global sweepstakes and contests, and timely updates about key issues facing advertisers conducting social media campaigns in the United States and around the world.
Tax considerations often drive decisions in the real estate world. Whether it’s optimization of income tax, gift tax, or estate tax treatment, real estate owners are particularly sensitive to the impact taxes may have on their activities. This CLE program explores how advisors can expand their arsenals to include the widest possible range of techniques when working with clients who have substantial real estate holdings.
President Trump signed into law on December 22, 2017 the Tax Cuts and Jobs Act making massive changes to business, personal, estate tax rules. Every aspect of planning will be affected: asset protection, charitable giving, planning for itemized deductions, choice of entity, employee reimbursement plans, trust income tax planning, the structure of trusts (grantor vs. non-grantor, ING, SLATs, DAPTs, etc.), and more. This is said to be the most sweeping tax legislation since the 1986 tax act. It...
This CLE program will discuss updates and new developments in labor and employment law, both New York State and federal. Specific topics will include: the difference between independent contractors and employees; the Freelance Isn’t Free Act; changes with regard to interns; New York State unemployment insurance law, including misclassification of employees; workers’ compensation; the New York Paid Family Leave Act; new required benefits; wage and hour updates, such as the tip credits, salary...
Recent high-profile cases demonstrate that even among the most experienced dealmakers, failing to pay sufficient attention to the details of some of the most common agreements can result in cratered deals, strained relationships and expensive disputes. With so much at stake, producers, writers, directors and financiers need to know when they are exposing themselves to these unnecessary risks. But how? This CLE program will focus on some of the biggest legal and business traps facing dealmakers...
1031 Exchanges are a useful tool for investors, attorneys, title agents, and real estate agents. This CLE course will give attendees an overview to 1031 Exchanges, in addition to touching on all basic rules, regulations, benefits and other concepts necessary for a successful 1031 Exchange. Attendees will learn how utilizing a 1031 Exchange can not only help defer capital gains taxes on investment and commercial properties, but how it can be used as a tool to reinvest wealth and grow their inve...
This CLE presentation explores recent caselaw from around the country related to title insurance coverage and closing liability. Attorney Kent Lewis will also discuss what attorneys need to know about Email Compromise Fraud including what red flags to look for, what to do if it happens to you and the position Errors and Omission insurance carriers are taking regarding coverage for losses related to Email Comprise Fraud.
Immigration law basically determines who may enter the United States, how long they may stay and when they must leave. Immigration law is under the control of Congress. Presidential power is limited to policies on refugees. Courts will not become involved in immigration issues unless constitutional rights are involved.
Immigration policies are implemented by granting or denying visas. Visas are issued by U.S. Consulates abroad. There are two principal types of visas: immigrant and noni...
The smaller tenant is “clout challenged” when it comes to dealing with landlord’s onerous, one-sided lease forms. Sending a 300 comment memo will not advance tenant’s cause—in fact, may well backfire; tenant (unfairly) being branded as a troublemaker. And that goes for legal counsel, too!
The objective of this CLE program is to discuss strategic analysis of the lease form and isolate those very significant legal and business provisions which have the greatest impact on the retail and re...
Guardians of the Galaxy; Wonder Woman; Riverdale; The Tick; Deadpool — comic book properties dominate film, television, mobile apps, and videogames. They are the driving force behind the hottest toys and apparel for the holidays. Comic book properties are also ripe for being turned into unlicensed derivative works, such as fan-art and fan-merchandise, often giving rise to infringement suits.
This CLE will introduce lawyers to key issues involved in the audiovisual and merchandise licensing of...
Comic books are not just for kids anymore — they are the foundation of many of the best-selling properties driving today’s motion picture and television industry revenues. The comic book industry and its ancillary markets continue to flourish, with new trends in digital publishing and derivative licensing.
This CLE program features top attorneys in the comic book publishing industry and tracks recent trends in comic book business and legal practice. It is designed to help lawyers under...
Look behind any new product launch, co-venture, or marketing campaign - and you're likely to find valuable trademarks. Indeed, the acquisition, protection and licensing of trademark rights is often mission-critical. While most companies have counsel that specialize in trademark law, to do their jobs well, non-IP practitioners need to understand the area too. Join Frankfurt Kurnit's Catherine M. C. Farrelly and Donna A. Tobin for a CLE presentation explaining trademark essentials in plain Engli...
The estate planning world is focused on the uncertainty of repeal (or not) which has profound impact on what planning might be appropriate. But practitioners should not overlook the stream of new developments that might impact clients now. This CLE program will provide a practical practice oriented review of new developments including the following:
Estate tax repeal – what it means to planning.
Portability new Relief - Rev. Proc. 2017-34 provides significant lenience to make a lat...
An Estate Planning and Elder Law Primer for practitioners who do not practice in the areas of Estate Planning and Elder Law. Learn the ins and outs of Asset Protection, Estate Tax Planning, the importance of Advance Directives, Probate, Special Needs Planning and Medicaid planning.
The many advantages of revocable trusts have made them a go-to as a vehicle for estate planning. But as with all legal remedies, the decision whether to implement them should be determined on a case by case basis. This CLE course will offer a complete overview of revocable trusts including the process, costs, eligibility, jurisdiction, surrogate court litigation and the overall pros and cons of revocable trusts in estate planning.
For anyone forced to declare bankruptcy, the experience is emotionally and psychologically devastating. And while many bankruptcy clients end up in financial straits because of irresponsible behavior or faulty business decisions, there are an equal number who are simply confronted with situations they do not have the means to deal with such as illness or unemployment. Bankruptcy attorneys must be attuned to their clients states, both financial and emotional, in order to develop a productive,...
This CLE program will review the automatic stay and discharge injunction. Emphasis will be given to the intent and purpose behind them, when they arise, who is impacted, and remedies for violations.
Did you know there are thirty counties in Nebraska that have three or fewer attorneys? Did you know that eleven of those counties have zero attorneys? This is a huge problem in rural areas across the country. This lack of “access to justice” prevents many individuals and families from protecting their rights and utilizing the justice system. This CLE program will review how these barriers arise, what tools to use to serve rural clients, and detail some of the speakers own stories, both success...
The realm of estate administration is often accompanied by a variety of important and complex considerations. Designed to provide an overview of the estate administration, Attorney Jill Miller will guide attendees through an estate's life cycle while revealing the fundamental steps and action items for each phase. Ms Miller covers a wide range of topics including the necessary steps that should be taken at a decedent's death, proper document preparation to ensure a will is admitted to probate...
This CLE program provides information regarding current fraud schemes from the front line regulators.
After attending this session, you will be able to:
Understand emerging trends in securities fraud and identify potential threats.
Identify potential red flags associated with different types of financial fraud.
Know who to contact to report potential fraud.
This CLE session provides and overview of new developments and trends in enforcement, including enforcement priorities, as well as policy changes and clarifications, particularly regarding information requests. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices. Panelists will also provide information and insight on navigating enforcement investigations and the disciplinary process.
After a...
This CLE session provides insights and observations from FINRA staff and industry practitioners on the existing trading environment for the fixed income market. Panelists will discuss the current state of liquidity within various fixed income products. Panelists will cover the potential impacts of a rising interest rate. Panelists will also discuss how they mitigate some of these impacts and deal with periods of volatility.
Topics discussed:
Understand the views of market participants...
This CLE program provides guidance on useful practices for protecting customer information, what to do in the event of a data breach and tackling other cyber security situations. Every firm needs a cybersecurity program. Is your current plan as comprehensive or robust as it should be? Are you effectively protecting your firm and your clients from threats? Whether you're just starting out or updating a well-documented approach, this session will provide actionable best practices and highlight...
This CLE program provides guidance on suspicious activity monitoring and other hot topics in AML (anti-money laundering). There is no shortage of "hot topics" in the Anti-Money Laundering (AML) compliance. As the industry has taken a leading approach to address and combat money laundering risks, this panel will discuss current and emerging AML hot topics.
After attending this session, you will be able to:
Understand AML program requirements.
Identify and describe FINRA’s AML initiativ...
This CLE program will focus on the current state of copyright law. Listen to a star-studded panel from Frankfurt Kurnit Klein & Selz's IP Litigation Group as they present a rundown of the latest developments.
Topics include:
Copyright ownership of film, video and other content
Defending small copyright claims
Copyright ownership of graffiti and other “street” art
Star Athletica and ownership of cheerleader uniform designs and other fashion executions
Recent cases affecting copyrig...
Property damage, personal injury, schedule delays, liens and unanticipated costs. Construction projects involve risks, and managing those risks is essential to the successful completion of every project.
Join Tannenbaum Helpern construction attorneys and an industry expert for a discussion, including real-world examples, of essential tools that owners can use to anticipate, allocate, control and minimize construction risk. The discussion will cover essential contract provisions, importa...
The Heckerling Institute of Estate Planning is the largest and most respected estate planning conference of the year. This one hour CLE presentation will provide an overview of many of the recent developments and planning ideas discussed at this major conference. The handout materials include a 140 page summary of many of the presentations at this program.
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