Covid-19 Update: While many businesses have temporarily halted or reduced their services during this turbulent time, we want our customers to know that we are fully operational and you will receive the same great CLE service that you've always had with us. We have live representatives standing by to assist you and we are processing all orders for shipment. Several states have implemented temporary changes to their CLE rules in response to the Coronavirus outbreak. You can discover more by selecting your state or you can contact us directly with all your questions by clicking here: Covid-19 CLE Help
Live Chat with a CLE Manager
Continuing Legal Education courses for Attorneys
You are viewing courses for Wisconsin. Select a Different State.
View WI Accreditation Info

Securities Law Bundle - Wisconsin CLE

15 Total Credits
 
Bundle Price:$249 (Save $501!)

NACLE makes CLE easy! Choose this bundle to help satisfy your CLE requirements hassle-free by combining our most popular courses together with deep discounted prices in one convenient package. This Securities Law Bundle contains 15 Credit Hours of CLE Lectures.

This CLE will focus on the latest regulatory updates and due diligence obligations and effective practices in connection with sales of alternative investments; including: Private Placements, Online Distribution Platforms, Finders, Real Estate Inves...

General Credits:1

This CLE program will highlight core regulations and best practices related to the supervision of institutional business activities. After attending this session, you will be able to understand the types of supervisory controls firms can implement t...

General Credits:1

Outside business activities (OBAs) and private securities transactions (PSTs) are regulatory and examination priorities, as they can both result in conflicts of interest that firms must understand and, as necessary, mitigate. Join industry practitio...

General Credits:1

RegTech (Regulatory Technology) is more than a buzzword, it is a real movement that is already having an impact on regulatory compliance. This CLE lecture will give you insight on innovative technologies being used to develop more effective, effici...

General Credits:1

This CLE program will address advertising sales practice issues applicable to general brokerage firms and their registered representatives. FINRA staff and industry practitioners will discuss advertising compliance and sales practice issues app...

General Credits:1

This CLE course is designed for compliance and marketing professionals who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications Wit...

General Credits:1

This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you...

General Credits:1

Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are disrupting the securities industry. Topics include RegTech (regulatory technology), artificial intelligence, identity authent...

General Credits:1

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...

General Credits:1

Passed in April of 2016 to protect the personal data of EU citizens, the General Data Protection Regulation (GDPR) of the European Union affected almost every entity that did business online, regardless of whether that business was in the EU or not....

General Credits:1

This CLE focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the rule, when mark-up disclosure requirements are triggered and recent guidance on how to calculate mark-ups based on prevailing market pric...

General Credits:1

This CLE 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 Enforc...

General Credits:1

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...

General Credits:1

Join FINRA staff and industry experts as they review legal cases and enforcement actions impacting AML programs. Panelists will cover regulatory trends, potential vulnerabilities, and how you can address any pitfalls in your AML program. Upon com...

General Credits:1

This CLE program will focus on the key issues regarding FINRA’s suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule, including a review of their differences. Panelists provide practical advice on how firms and registered rep...

General Credits:1
National Academy of Continuing Legal Education is a sponsor of CLE activities approved by the Supreme Court of Wisconsin Board of Bar Examiners. All courses offered by the National Academy of Continuing Legal Education have been directly approved by the Board of Bar Examiners (BBE). To view our full accreditation details, please click here.


States where Nacle.com Offers CLE Courses On DVDs, Audio CDs, Online & iOS/Android App (Continuing Legal Education):
Alaska CLE | Alabama CLE | Arizona CLE | California MCLE | Colorado CLE | Connecticut CLE | Washington DC CLE | Delaware CLE | Florida CLE | Georgia CLE | Hawaii CLE | Iowa CLE | Idaho CLE | Illinois MCLE | Indiana CLE | Kentucky CLE | Louisiana CLE | Massachusetts CLE | Maryland CLE | Michigan CLE | Missouri CLE | Mississippi CLE | North Dakota CLE | Nebraska CLE | New Hampshire CLE | New Jersey CLE | New Mexico CLE | Nevada CLE | New York CLE | Ohio CLE | Oklahoma CLE | Oregon CLE | Pennsylvania CLE | Rhode Island CLE | South Dakota CLE | Tennessee CLE | Texas CLE | Utah CLE | Virginia CLE | Virgin Islands CLE | Washington CLE | Wisconsin CLE | West Virginia CLE | Wyoming CLE | Online CLE Courses | Live Webinar CLE Calendar | NY BTG CLE | Teach at the Academy | F.A.Q. Hardship Policy | Terms And Conditions | Contact Us | iOS/Android App | Account Login | Unlimited CLE | Sitemap | Mobile Site
Copyright © 2000 - 2020 National Academy of Continuing Legal Education. All Rights Reserved.