Wyoming CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Wyoming. Please make your selection below of Wyoming 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.
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
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On-DemandCD/DVD/USB, Online, iOS/Android App
Mark-Up Disclosure Requirements
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 price. Panelists share their perspectives on effective practices and helpful tips they have identified. Upon completion of this CLE program you will be able to: discuss the latest MSRB guidance concerning mark-up disclosure requirements. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks
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 completion of this CLE, you will be able to: Discuss recent AML enforcement actions published by FINRA, the SEC (Securities and Exchange Commission) and other regulatory agencies, criminal and governmental authorities. Discuss various methods... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Social Media and Digital Communications: 2019-2020
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 will be able to: Describe digital marketing and digital communications; Talk about instant, text and app-based messages in your firm; Discuss how to approach social media, both external and internal to your firm; Summarize how to handle video cont... More Info
$501General Credit -
On-DemandCDs, DVDs, USB Stick
What Lawyers Need to Know About Cryptocurrency & Blockchain
This CLE program will explore the rapidly evolving hype and reality of blockchain technology, including recent legal developments and how to advise your clients. The following topics will be covered: data security, privacy, intellectual property and ownership, monetization of data, regulation, product liability, automated contracts, IoT advocacy, application program interfaces and ethical issues involved in data collection and sharing. Highlights of the Program include: The Internet of Th... More Info
$1502.75General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
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... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Common Examination Findings and Effective Compliance Practices
This CLE program will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide guidance on taking corrective action and updating compliance procedures and practices based on lessons learned from common exam deficiencies. After attending this session, you will be able to: Discuss common findings in various regulatory areas and related supervisory deficiencies. Identify controls, procedures and processes that member firms are inco... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)
This CLE program provides guidance on common deficiencies noted during FINRA examinations of medium and large firms.. Industry practitioners discuss taking proactive compliance measures and corrective action in response to examination deficiencies and recommendations. Senior FINRA staff discuss the exam process from their perspective and provide examples of best practices. After attending this session, you will be able to: Understand the FINRA examination process and effective practice... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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... More Info
$501General Credit -
On-DemandCDs, DVDs, USB Stick
Cyan, Inc. v. Beaver Country Employees Retirement Fund: What it Means; What We Can Expect
In a much-awaited decision on which courts and counsel have reached different conclusions for years, the United States Supreme Court held that the Securities Litigation Uniform Standards Act (“SLUSA”) does not strip state courts of jurisdiction over class action law suits brought exclusively under the Securities Act of 1933 (the “1933 Act”). The Supreme Court additionally held that SLUSA does not permit removal of class action claims brought solely under the 1933 Act from state to federal cour... More Info
$501.25General Credits