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Wisconsin CLE - Business Law Courses

This is a listing of Business Law 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.

Business Law Courses

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Ethics Credits
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Common Examination Findings and Compliance Effective Practices for Institutional Firms

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...

General Credits
1
Price$50

Detecting, Preventing and Investigating Fraud and Misappropriation

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.

General Credits
1
Price$50

Effective Processes for Suspicious Activity Monitoring and Investigations

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...

General Credits
1
Price$50

Enforcement Initiatives, Developments and Priorities

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...

General Credits
1
Price$50

Implementing a Risk-Based Program and Identifying Red Flags

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...

General Credits
1
Price$50

Market Regulation Priorities: Detecting and Preventing Misconduct

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...

General Credits
1
Price$50

Outside Business Activities and Private Securities Transactions

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...

General Credits
1
Price$50

Suitability, Supervision and Surveillance

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,...

General Credits
1
Price$50

The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit

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...

General Credits
1
Price$50

Working Together to Protect Senior Investors

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...

General Credits
1
Price$50

Nailing the 30 Min Consultation

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....

General Credits
1
Price$50

The Law of Bank Payments

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.

General Credits
3
Price$125

Business Immigration Law: New Rules and New Challenges in Recruiting Global Talent

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.

General Credits
1
Price$50

Follow the Money: Legal Pitfalls of Investing in Cannabis

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...

General Credits
2.5
Price$125

Insurance Implications for Cannabis Lawyers

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.

General Credits
1
Price$50

Protecting Your Cannabis Intellectual Property

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.

General Credits
1
Price$50

Advertising Law in the United States and Around the Globe

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.

General Credits
2.5
Price$125

Labor and Employment Law Update: The Day of the $29.00 Hamburger is Coming!

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...

General Credits
2
Price$100

Getting the Deal Done: A Discussion of Common Pitfalls Facing Dealmakers When Negotiating Film and TV Deals

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...

General Credits
1
Price$50

Immigration Law: Hot Topics & Survey For The General Practitioner

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...

General Credits
2
Price$100

Beyond the Printed Page: An Overview of Licensing Comic Book Properties to the Film, Television Industries

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...

General Credits
1.5
Price$75

Trademark Basics for Corporate Counsel

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...

General Credits
1
Price$50

Serving Rural Clients Using Technology

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...

General Credits
1
Price$50

Detecting, Preventing, and Investigating Fraud and Misappropriation

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.

General Credits
1
Price$50

Bonds: 2017 and Beyond

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...

General Credits
1
Price$50

Cybersecurity Threats and Loss Prevention (Medium and Large Firm Focus)

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...

General Credits
1
Price$50

Hot Topics in AML

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...

General Credits
1
Price$50

Hot Topics in Copyright Law

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...

General Credits
3.5
Price$150


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