Florida CLE - Securities Law Courses

This is a listing of Securities Law CLE Courses for Florida. Please make your selection below of Florida 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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  • The State Of The Art of Investment Advisor Regulations

    This CLE course explores the latest developments in Investment Adviser Regulation, focusing on practical steps for investment advisers in light of the Fifth Circuit's decision to vacate the SEC's recent Private Investment Adviser regulations. We'll examine why the SEC chose not to appeal the ruling and discuss the implications. The course will also cover emerging trends and best practices in artificial intelligence, the Marketing Rule, and other recent regulatory changes. Addit... More Info

    $50
    1General Credit
    Self-Report

  • Compliance and Legal Trends in The Financial Industry

    Join industry leaders for an in-depth discussion on the latest legal trends, critical focus areas, and innovative strategies shaping legal and compliance functions within financial firms. This CLE session will provide valuable insights into how these changes are impacting the sector and share their approaches to navigating evolving business, regulatory, and technological landscapes. Key topics will include: Regulatory Burden: Understand the complexities and increasing demands of re... More Info

    $50
    1General Credit
    Self-Report

  • Ask FINRA Senior Leaders

    During this CLE session, FINRA senior staff provide updates on key regulatory issues and initiatives. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics. This session will discuss: Modernization of FINRA Rules in a post-COVID world (RSL, Remote Inspection Pilot), the current regulatory landscape and FINRA Rulemaking, Risk Monitoring Questionnaires, Exam Moder... More Info

    $50
    1General Credit
    Self-Report

  • Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals

    This CLE session explores aspects of Regulation CF and considerations for broker-dealers and funding portals within the crowdfunding realm. Join panelists at this session to gain knowledge on emerging regulatory risks and practices broker-dealers and funding portals can implement to stay in compliance. This session will discuss: Considerations for broker-dealers engaging in Regulation Crowdfunding offerings. Considerations for funding portals engaging in Regulation Crowdfunding offe... More Info

    $50
    1General Credit
    Self-Report

  • Crypto Assets: Trends, Regulatory Developments and Resources

    Join this session to learn about the latest cryptocurrency regulatory developments including the crypto-assets retail communications sweep and rule proposal, current trends in crypto misconduct, and resources and guidance firms can leverage. This session will discuss: • Regulatory Developments: ­ Crypto-assets retail communications sweep published in December 2023 ­ Disclosure concerns with OBAs/private securities transactions and net capital issues ­ Themes from crypto survey (reg... More Info

    $50
    1General Credit
    Self-Report

  • Financial Crimes: Outpacing the Threats

    This CLE will explore how threat actors are attempting to defraud investors through tactics including market manipulation, new account fraud, cryptocurrency and generative AI. Panelists address the most prominent threats and share effective practices and resources to help firms proactively combat criminals. This session will discuss: • Threats: ­ Microcap IPO manipulation and single stock ETFs for AML ­ Fraud and Sanctions or Manipulative Trading topics ­ New account fraud (includi... More Info

    $50
    1General Credit
    Self-Report

  • FINRA's Disciplinary Hearing Process

    Hear from FINRA Enforcement counsel, defense counsel, and a hearing panelist as they broaden awareness about FINRA's disciplinary hearing process and highlight distinctions between self-driven hearings and administrative law judge hearings. This CLE course will discuss: The differences between FINRA hearings versus hearings by administrative law judges; The conflicts clearance process for panelists and hearing officers; The full lifecycle of a case from the pre-complaint phase throu... More Info

    $50
    1General Credit
    Self-Report

  • The Latest in Private Placement Sales Oversight

    Learn about regulatory developments, compliance obligations and effective compliance practices related to the sales of private placements, including relevant topics such as Regulation Best Interest, communications, due diligence and conflicts of interest. This session will discuss: Review regulatory developments, compliance obligations and effective compliance practices related to private placements, including discussion about Reg BI, Communications, Due Diligence and Conflicts of I... More Info

    $50
    1General Credit
    Self-Report

  • Developments in Remote Supervision

    This CLE course will explore the latest remote supervision developments including the remote inspection pilot program, amendments to supervision rules to cover Residential Supervisory Locations and risk-based supervision best practices. This session will discuss: Sunsetting of current COVID relief, and the implementation of Rules 3110.18 and 3110.19 How to functionally report residential locations and RSLs in Firm Gateway Remote supervision best practices and considerations FAQs fo... More Info

    $50
    1General Credit
    Self-Report

  • Fixed Income Securities Regulatory Outlook

    This CLE session addresses the latest regulatory focuses related to both fixed income and municipal securities, including Time of Trade disclosures, SEA Rule 15c2-11, and considerations firms should keep in mind with respect to exam priorities, findings, and enforcement actions. This session will discuss: Updates to SEA Rule 15c2-11 Time of Trade Disclosures, including Municipal Fund Securities and Market Discount Transaction Reporting Municipal short closeouts/ possession and co... More Info

    $50
    1General Credit
    Self-Report

Credits Selected

GeneralGeneral
0
EthicsEthics
0
ProfessionalismProfessionalism
0
Technology/EthicsTech/Ethics
0
TechnologyTechnology
0
Bias EliminationBias Elim
0
Mental IllnessMental Illness
0
Substance AbuseSubstance Abuse
0
Total Credits
0
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