Colorado CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Colorado. Please make your selection below of Colorado 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.
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Variable Products & Retirement Planning
Join FINRA staff and industry practitioners as they discuss variable and retirement planning productions. The panelists also explore frequently asked questions and discuss regulatory challenges. Topics Discussed: Summarize how to create a variable product communication with respect to content and performance. Address selected topics, such as supplemental hypothetical illustrations, comparisons and complexity of contracts and investment options. Understand the legal perspective on th... More Info
$501General Credit -
Advertising Compliance Bootcamp: Select Topics
This panel will discuss examples of content violations, disclosure and performance standards of SEC Rules, standards for variable insurance product communications, guidance with respect to options communications, presentation of rankings, the core concepts of social media and digital communications, and a list of basic “do’s” and “don’ts.” By the end of the session, you will be able to: Comply with the content standards of FINRA Rule 2210. Apply the: SEC Rules to investment company... More Info
$501General Credit -
Advertising Compliance: Fundamentals of FINRA Rule 2210
This CLE course is designed for attorneys 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 With the Public rule, including filing requirements, internal approval and supervision, and content standards. Panelists answer questions about how to apply the rules to financial services communications and marketing materials. More Info
$501General Credit -
Current Communications with the Public Regulatory Issues
Join FINRA staff and industry panelists for an in-depth conversation on current advertising regulatory issues, including the new Investment Advisers Act Marketing Rule. Topics Discussed: Learn about recent communications rule changes and proposals. Understand how the new IA Marketing Rule will impact firm communications. More Info
$1002General Credits -
Exempt Offerings
This CLE program focuses on industry and regulatory developments related to Reg D and Reg A+ offerings. During the session, panelists discuss common concerns and recent regulatory findings. Speakers provide practical information and effective practices for firms offering these products to retail investors and discuss Regulatory Notices 20-21 and 21-26. More Info
$501General Credit -
Fintech Firms: Communications Compliance Topics
Join FINRA staff and industry panelists as they share insights on challenges and effective practices related to communications compliance for Fintech focused firms. The panel covers topical issues such as digital engagement practices, mobile applications, integrated product offerings, and crypto assets. Panelists answer questions and provide tips on the use of technology to help navigate this quickly evolving area. More Info
$501General Credit -
Investment Companies Current Topics
Join FINRA staff and industry panelists as they discuss topical advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. Panelists cover the compliance challenges associated with complex products such as single stock ETFs, crypto futures funds, non-transparent ETFs and ESG focused investments. The panel also includes discussions regarding regulatory interpretations and compliance tips. More Info
$501General Credit -
Complexities of Acquiring Control: Where the Fed’s Control Rule Meets Other Regulatory Definitions
The Federal Reserve finalized revisions to its approach for determining whether one company has control over another for purposes of the Bank Holding Company Act and the Home Owners’ Loan Act, as amended. While in many respects the final rule codified the Fed’s existing control standards, it also introduced new concepts and raised critical questions about the industry should implement the rule in practice. Over the last two years the industry has grappled with how to apply these revisi... More Info
$1002General Credits -
The Secure ACT: Five Key Considerations
This CLE course will focus on five key considerations of the SECURE Act and how this law may affect your financial plan as an attorney. Some of the topics we will cover include: The new age requirements for RMDs Distribution options for beneficiaries Age limitations on traditional IRAs Flexibility around 529 plans Changes to rules around retirement distributions for births and adoptions More Info
$501General Credit -
Managing Your Client’s Series A Offering of Securities: A Step by Step Guide
A startup or early-stage company goes through a number of informal financing rounds involving company founders, friends and family members, and local angel investors. But if the company’s business plan is successful, it will be ready for its first round of venture capital, known as the “Series A Round” or “Series A Offering”. In this fast-paced, entertaining CLE presentation, you will learn the steps involving in managing a Series A offering of securities, including: reviewi... More Info
$1002General Credits