Alabama CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Alabama. Please make your selection below of Alabama 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 Online & iOS/Android App and with Live Webinars!
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On-DemandOnline & iOS/Android App
Senior and At-Risk Investors
Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected. After attending this session, you will be able to: Review FINRA Rules 2165 & 4512 Discuss elder abuse prevention and protection act Review State Report and hold laws More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Social Media and the Rise of the Finfluencers
Human behavior has evolved as a result of the pandemic. For the financial services industry, the rapid acceleration of digital adoption has dramatically changed the way we engage with each other and our clients. Join FINRA staff and industry panelists as they discuss how social media and social media influencer are affecting the industry. Panelists discuss new developments, effective compliance practices, and how their firms are managing social media obligations. After attending t... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Building a Successful Solo Mergers and Acquisitions Practice
This CLE program will focus on the tools needed to add a successful mergers and acquisition practice in your firm.. Take a step-by-step look at key issues including: what is an M&A practice, flowcharts, checklists, practice tips, software suggestions and client management hints. More Info
$501.2General Credits -
On-DemandOnline & iOS/Android App
Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards
Cybersecurity compliance concerns have emerged as a forefront issue for both large and small enterprises. Revisions of three important standards or requirements were published recently and will have far reaching cybersecurity compliance implications. The National Institute of Standards and Technology (NIST) released Spec. Pub 800-53 (Security and Privacy Controls for Information Systems and Organizations), the Payment Card Industry Security Standards Council published PCI-DSS 4.0, and... More Info
$501.1General Credits -
On-DemandOnline & iOS/Android App
Basics of Patents: Are You Protected? Fundamentals of US Patents and Inventorship
An increasing proportion of the value of a company resides in its intellectual property. This makes protection of intellectual property of great importance to company owners, be they sole proprietors or stockholders. Learn the basic ideas of patent law and inventorship in the United States, including what is a patent claim, who should be named as the inventor, what must be disclosed in a patent support its claims, and how patent claims are used in the marketplace. More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Bitcoin: Time For Lawyers To Take A Byte
The economic impact of digital evolution is a reality of our daily lives. Over the past decade, the “Internet of Things” replaced the “Internet of Information.” Today and since the emergence of blockchain technology, we are seeing a sweeping wave of the “Internet of Value” gradually taking over the web and yielding in its wake a transformation of our economic systems deeper than the first two waves combined. Open a magazine, nowadays, and you’re bound to find an article discuss... More Info
$501.1General Credits -
On-DemandOnline & iOS/Android App
Asset Protection for Cryptocurrency
Asset Protection is in high demand in our increasingly litigious world. Cryptocurrency is well regarded as the currency of the future. Cryptocurrency is increasingly becoming a targeted asset in many lawsuits. Blockchain technology can make it easy to see the amount of cryptocurrency an individual owns. This course will teach the various strategies for protecting cryptocurrency from being lost due to a lawsuit. More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Setting Up Your Securities Clients For Success
Often times, legal counsel preparing Exempt Offering Documents for their clients evaluates them primarily on legal grounds, rather than on grounds associated with how the Offerings could be best articulated from an underwriting standpoint. This course, and these educational materials, are designed to offer helpful strategies on approaching securities documentation from the standpoint of underwriting standards designed to allow effectiveness and consistency in the Offering documentation... More Info
$1002General Credits -
On-DemandOnline & iOS/Android App
GRAT and Valuation Planning After CCA 202152018: What Practitioners Need to Know
CCA 202152018, released on December 30, 2021 has critical impact on grantor retained annuity trusts (GRATs). The CCA addresses a common valuation challenge: what consideration should be given to a potential sale in valuing an asset? Often there is a long continuum from: no sale, to discussions with potential buyers, to a letter of intent, to a binding contract, etc. Where the business is on this continuum will affect how an appraiser evaluates the possible implications of the potenti... More Info
$501.3General Credits -
On-DemandOnline & iOS/Android App
The Regulation of Private and Foreign Funds in the Age of Cryptocurrency
This CLE course is designed to provide an overview of the regulatory regime applicable to private and foreign (i.e., non-registered) investment funds and the issues raised by the explosive rise of cryptocurrencies in the past several years. The course begins with an overview of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act, the Investment Advisers Act, the Dodd-Frank Act and the SEC and CFTC rules and regulations applying this legislative fr... More Info
$751.5General Credits