Idaho CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Idaho. Please make your selection below of Idaho 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!
Instantly Print Your CLE Certificates
-
Live WebinarTuesday, December 31, 202411:00 AM - 12:00 PM Eastern Time (EDT)
Live Webinar: Alimony and Spousal Maintenance: What Attorneys Need to Know
This comprehensive CLE presentation will review essential insights into spousal support analysis across jurisdictions. The first part focuses on the legal framework, covering the fundamental distinctions between alimony, support, and maintenance, while providing a detailed examination of the contrasting approaches in New York and New Jersey. Participants will gain a thorough understanding of how maintenance differs from child support, the interplay with equitable distribution, and the specific... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Foreclosure 101: An Overview of the Process to Recover Real Property Across the Country
This CLE course provides a high level overview of the basic topics pertinent to practitioners interested in residential foreclosure for lenders across the nation. We will review standard documents, concepts, terms, and methods to achieve foreclosure at a high level, as well as common pitfalls and defenses that can be raised by homeowners in defending against foreclosure. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Silicon Valley Bank: Do Its Outside Directors Share in the Blame for Its Failure?
This riveting CLE course reviews the well-publicized failure of the high-flying Silicon Valley Bank. This bank ran out of money as a result of a quick, massive run on the bank—depositors sought their money back—immediately after the public disclosure of serious financial problems. The demise of this Bank—with $209 billion in assets, its failure was the second biggest in U.S. history—received immediate widespread analysis and attention, much of which has been focused on the quality of... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Modernizing Off-Channel Communications Supervision
Join panelists as they discuss observations from thematic reviews of off-channel communications such as text and social media platforms and effective techniques firms are using to provide oversight of their firms’ communications. This session will discuss: Communications Landscape Rule Requirements--Books and Records, Communications with the Public, and Supervision SEC and FINRA Enforcement Actions Observations from Thematic Reviews of Off-Channel Communications OSE-Facilitated Comm... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Promoting Market Integrity: FINRA’s Role in Market Structure
Hear regulatory and industry perspectives on FINRA’s role in promoting market integrity and on the new and evolving rules such as current market structure proposals, securities lending and how transparency initiatives are shaping the market. This CLE discusses: New and emerging rules SEC market structure proposals, securities lending, and other transparency initiatives More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle
This CLE course dives into factors firms should consider when outsourcing activities or functions to third-party providers. Hear from panelists as they discuss how to mitigate vendor risk with strong technology governance programs that encompass the lifecycle of vendor engagement, from onboarding, performing ongoing due diligence, responding to events, and offboarding. This session will discuss: Vendor Management and Due Diligence Regulatory Notice 21-29 (FINRA Reminds Firms of their... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Progression of Regulation Best Interest and Form CRS
During this CLE session, panelists discuss recent observations on firm adherence to Regulation Best Interest and Form CRS and share guidance on Reasonably Available Alternatives, the Care Obligation, and Conflicts of Interest. This session will discuss: Actions: Recent SEC and FINRA findings in Reg BI and Form CRS Interpretation, guidance and best practices: Recent SEC and FINRA findings in Reg BI and Form CRS Reg Notice 23-20 Form CRS FAQs Reasonably Available Alter... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know
Do you refer clients to financial advisers? Lawyers need to understand the regulatory framework that distinguishes financial advisers, particularly in light of new (2020) disclosure documents (Form CRS). In this program, we will cover how financial advisers are regulated; how standards of care differ; how to recognize potential conflicts of interest that can affect the adviser-client relationship; and most importantly, how new SEC disclosure tools make your due diligence process easie... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Mortgage Mayhem: What Attorneys Need to Know About Loan Applicant Protections
The most confusing, time consuming, stressful and infrequent transaction your clients will face is purchasing a home. Because of this, most consumers simply check-out and become overly-reliant on the loan officer to protect their interests. Consumers say, “Let the experts handle it. I’m here for the coffee.” This is a mistake. A home loan is a “zero-sum” game for the loan officer – either the loan closes or it doesn’t. There is a commission or there isn’t. As a result, some loan officers stack... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
New Jersey Attorney Trust And Business Accounting Fundamentals
Attorneys practicing in the State of New Jersey lawyers are required by the Court Rules and the RPCs to maintain trust and business accounts. This informative CLE course focuses on the rules and ethics of establishing the required trust and business accounts and offers practical advice on how to maintain those accounts. The course will also offer tips and strategies to avoid the pitfalls and errors that many new attorneys encounter. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Anti-Money Laundering Compliance: It's Growing, So Make Sure Your Clients are Covered
The passage of the Anti-Money Laundering Act (“AMLA”) brought sweeping changes to the Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) legislative regime in the United States. Parts of the AMLA are still being put into force, including coverage of entities not traditionally included, updated priorities for financial institutions, the Beneficial Ownership Registry, and others. Legal practitioners may have to address these new challenges for clients who are now being bro... More Info
$501.25General Credits -
On-DemandCDs, DVDs, USB Stick
Representing the Section 1031 Tax Deferred Exchange Client
Internal Revenue Code §1031 tax-deferred exchanges provide tremendous tax savings by allowing owners of real property to defer the capital gains normally due upon the sale of their property. This CLE program will explain how to effectively represent the needs of their clients who are contemplating an exchange. The program will discuss: The qualifications and requirements for an exchange Preparation of the sales contract, settlement statement and other closing procedures Considerati... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies
State Taxation varies across every state in the United States. Specifically at a State and Local Tax (SALT) level, every jurisdiction has its own tax code and tax treatment for various applications. For example, the way California may classify revenue from a certain company is not the same as Texas will perceive the revenue. Of course, the Supreme Court of the United States has weighed in on limitations of a state’s power to tax, citing the Commerce Clause and various other constitutional cons... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Offshore Versus Domestic Asset Protection, What You Need To Know
Join our Asset Protection Attorney as he delves deep into an extensive examination of the most prevalent tools, both domestic and international, that can safeguard your clients' assets from legal disputes. This CLE session will encompass the following topics: Understanding Asset Protection and its vital role in today's increasingly litigious society. Tracing the historical evolution of the Asset Protection Industry. An exploration of the most commonly employed strategies for asset p... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Consumer Chapter 7 & 13 Bankruptcy: What Attorneys Need to Know About Conducting a Consult
This introductory CLE course provides valuable tools and tips for conducting a thorough, well-organized consumer bankruptcy consult which will assist the attorney in thoroughly analyzing the case and educating the client about the differences in Chapter 7 and 13 and why one might be better for them than the other. It highlights helpful tools and sample visual aids to keep the consult on track, maximize the information obtained from the client, and allow clients to clearly follow the an... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning
An effective Asset Protection & Estate Planning Program for Business & Investment Clients should address family and legacy considerations, complete asset protection and tax optimization simultaneously. In addition, it should be easy to use, capable of expanding through time to embrace growth in your clients’ business and investment portfolios, and it should be capable of being examined in the sunlight without legal concerns. And finally, it should be fully integrated so that all of y... More Info
$1002General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Commercial Pace, The New Kid On The Block: The Legal Framework For A New Form Of Commercial Real Estate Financing
Commercial Property Assessed Clean Energy Financing (C-PACE) is one of the newest financial tools for property owners and developers in the country. Offering lower interest and longer terms with a super-priority lien, it behaves like a muni bond but can be put into a capital stack. Find out the legal ins and outs of how this is enabled, its legal structure and status, and how you can put it to work for your clients, whether they be private owners, developers, banks, or local governmen... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Avoiding Liability Under The FDCPA
The material presented in this seminar is intended to provide the audience with an overview of some of the key areas of compliance regarding a third-party debt collector’s use of debt collection communications via the telephone and in writing. Recently, the collection industry has been confronted by increasing regulatory oversight and enforcement actions by the Consumer Financial Protection Bureau (“CFPB”), as well as an awaking of the Federal Trade Commission (“FTC”) and Federal Comm... More Info
$1002General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators
The US federal banking regulators have jointly proposed extensive revisions to the regulatory capital requirements for [midsize and] larger US banking organizations. The revisions are lengthy and would change the requirements for credit, market, and operational risk. Some of the revisions are long-expected (e.g., re-evaluation of use of internal models), but others are novel (e.g., capital charge for operational risk) or driven in response to the recent banking crisis. Further, the rev... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
What Attorneys Need to Know About Reading and Understanding Financial Statements
Lawyers regularly interact with business people. Business people have their own language. Phrases like EBITDA, NOPAT, Gross Profit, Operating Profit, Net Income, on a fully diluted basis, retained earnings, current versus long term assets and liabilities, Free Cash Flow. If these terms are a foreign language to you, then this course is for you. In this CLE course, you will learn how to read and understand the basic financial statements---the income statement, balance sheet, and stat... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Case Against Tipper X
lmagine the following: lt is the morning of a normal workday for you and millions of others who live in New York City. You go to the gym for a workout and run some errands before heading to the office. Unexpectedly, two FBI agents approach you on the sidewalk, flash their badges - in public view - and begin questioning you about activity at your job. The agents begin spitting out details about your personal life - they know where you were last weekend, they know private details about your fam... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
What If the Government Doesn’t Save My Client’s Bank? Preparing For the Next Bank Crisis
Recent crisis in the banking system has resulted in several failures and a loss of confidence among depositors. While extraordinary intervention by the government and private sector protected uninsured depositors, owners and debtholders lost everything. Further, there is no expectation that the government will even protect uninsured depositors if another bank fails. In this CLE course, a regulatory partner at a prominent law firm will take a hard look at the recent trauma in the banki... More Info
$501General Credit -
On-DemandCDs, DVDs, USB Stick
Fair and Equitable Housing Regulations and Legal Ethics in Real Estate
Real Estate Attorneys and Real Estate Professionals, including Realtors and Appraisers, must exercise ethical conduct towards all parties including Sellers and Purchasers of a residential real estate transaction. Our panelists will focus on the due diligence and legal ethics that should be exercised in assisting your clients to make a well informed decision to sign a residential contract and purchase a home. Given the current events, changing mortgage interest rates and shortage of home... More Info
$501.25General Credits -
On-DemandCDs, DVDs, USB Stick
How to Handle a Securities Regulatory Investigation
How you handle a securities regulatory investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. It is also important to understand your ethical obligations before, during, and after an investigation, as representation lines may become blurred. During this CLE, our panel of experienced practitioners will discuss: the various stages of a securities regulatory investigation the initial contact demand for documents gathering... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Was the Pandemic a Short or Long Term Bankruptcy Sickness
This course will consist of a short, general description of bankruptcy law history and a description of the different types (Chapters) available and their basic respective functions and differences. There will be a discussion of the last significant Bankruptcy Code amendments effective in 2005. The course materials will include the set of current bankruptcy Schedules and Chapter 13 form plan and explain how to complete these. Finally, the course will include a brief description of bank... More Info
$1002General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
You Won! Now What? Collecting Civil Judgments Under Illinois Law
Successfully prosecuting a civil case to judgment is great, but clients typically expect money at the end of the case. This is especially important for lawyers who work on a contingent fee basis. If the judgment debtor has no available insurance – or if the judgment in question exceeds those limits, you need to understand the mechanics of collection law, so you can finish the job, monetize the judgment and get your client (and potentially yourself) paid. This course discusses the nuts a... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Evaluating a Franchise for a Franchisee: What Attorneys Need to Know
This CLE course is designed for counsel representing a franchisee in evaluating a decision to purchase a franchise, reviewing the FDD and Franchise Agreement, and Negotiating an Addendum. It will discuss some of the key considerations a franchisee will need to evaluate in making a decision to purchase a franchise and strategies for negotiating on behalf of a franchisee. More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Ask FINRA Senior Staff
During this CLE program, FINRA senior staff provide updates on key regulatory issues. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Compliance and Legal Trends
Join industry leaders as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists share insights on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Franchise Sales Compliance
This CLE course is designed to assist legal counsel representing a franchisor in understanding how to keep the franchisor client compliant with the federal and state franchise laws. The compliance issues will be discussed in practical terms, with practical examples so that counsel can easily relay these concepts to their clients. More Info
$1002General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Capital Formation: Current Regulatory Landscape and Challenges
Attend this session to learn more about the regulatory landscape, potential challenges, and resources for firms as it relates to capital formation. This CLE program will discuss: Discuss current regulatory landscape Discuss challenges and obstacles from firm perspective Resources for firms More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Current Issues Under Regulation Best Interest and Form CRS
In an ongoing dialogue, regulators and industry practitioners come together to delve into a wide array of current topics and delve deep into the valuable lessons learned through their experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). This collaborative discussion explores the multifaceted aspects of these regulatory frameworks, encompassing not only effective practices implemented within firms but also the examination experiences encountered along... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Hot Topics in Municipal Securities and Other Fixed Income
This CLE program covers an assortment of key considerations surrounding fixed income securities including exam priorities, common findings and enforcement actions, fixed-income rulemaking, and an update on SEC Rule 15c2-11. This CLE program will discuss: Review of recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking and common problems uncovered during Member Supervision and Market... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Leveraging Regulatory Technology for Your Firm
During this CLE program, panelists discuss how RegTech is impacting the securities industry as well as related benefits, risks and regulatory considerations. The session also covers different RegTech tools available to enhance compliance efforts, such as FINRA's new Machine Readable Rulebook as well as other tools involving the use of artificial intelligence and cloud computing. This session will discuss: Considerations for using Regtech tool such as those incorporating AI for regul... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Market Regulation and Transparency Services Priorities: What You Need to Know
During this CLE session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs. This session will discuss: Discuss updates on market regulation and transparency priorities, including current initiatives and rulemaking FINRA panelists share thoughts on equities, options and fixed income compliance programs Include information on: Manipulative Trading Reg Notice 22-27 (TRACE) Fixed Income Fair... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Market Structure: Current Developments and Future Trends
During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities. This session will discuss: Discuss current developments and future trends in the industry, including best execution guidance, payment for order flow issues and Transparency 605/606 A notice and comment period on Market Structure will wrap up around May – discuss notice... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Redefining Communications Compliance for the Digital Age
As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communications with the public. Panelists cover lessons learned from FINRA’s ”finfluencer” targeted examinations, recent enforcement activity around off-channel communications, and how practitioners are approac... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Evolution of Branch Office Inspections
Join us as we delve into a thought-provoking exploration of the invaluable lessons acquired during the transformative journey towards remote branch inspections. Our esteemed panelists will engage in an enlightening discussion, unveiling a wealth of knowledge encompassing a range of crucial topics. Amidst a rapidly evolving regulatory landscape, our distinguished speakers will provide invaluable insights into the impact of FINRA inspections and other regulatory developments. Del... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Firm Perspective on Monitoring and Protecting Against Financial Crimes
Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering. This session will discuss: Effective practices and controls for firms in monitoring, protecting against and addressing AML, cybersecurity and fraudulent activities Provide tips to identify potential “red flags” for fraud and insider tr... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Broker Lien Rights: What Attorneys Need to Know
This CLE course offers an overview of commercial real estate broker lien rights in 34 states, taught by a 46 year attorney who authored or lobbied on behalf of roughly half of those statutes. Topics addressed include the scope of commission claims which are protected, legislative history, the prerequisites for the lien claim, timing, and key tips on enforcement. Hear from the author of these statutes and his 31 years of lien practice in multiple states, from drafting the lien, assertin... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Current Trends and Threats in Financial Crimes
In this CLE session, Deputy Director Abbate and Under Secretary Nelson discuss the latest developments in financial crimes and illicit finance risk including new and emerging threats related to money laundering, fraud, securities fraud, cyber-crime, digital assets and sanctions. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Financial Responsibility Rules and Relevant Touchpoints
In this informative CLE course, panelists will discuss topics involving SEC and FINRA financial responsibility rules, including regulatory obligations of introducing, intermediary, carrying and clearing firms under FINRA Rule 4311; SEA Rule 17a-4; and other topics including liquidity and fully-paid lending. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Private Placements: The Latest Regulatory Developments and Compliance Considerations
Join panelists as they perform a deep dive into private placement regulatory developments including regulatory notice 23-XX as well as compliance obligations and best practices related to Reg BI, sales materials, due diligence, conflicts of interest and more. 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... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored
This CLE course provides an in-depth overview of the US merger control process, antitrust agency priorities, forthcoming revisions to the US merger guidelines, and highlights of recent merger challenges. The course is designed to give attorneys a comprehensive understanding of the current state of antitrust regulations in the US and the role of antitrust agencies in reviewing and challenging mergers. The course will begin by exploring the fundamentals of US merger control process, inclu... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Preparing a Business Client to Franchise
This CLE course is designed as a basic course to assist counsel representing a client who wants to franchise. We will discuss some practical considerations to help the client understand if franchising is the right decision, the legal obligations of a franchisor, and discuss some of the key decisions a new franchisor will need to make. More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Introduction to Franchising Law
This CLE course is designed as a basic course for counsel with limited knowledge of franchise law and will introduce the basic legal considerations in franchising, whether you are representing a franchisor or a franchisee. The course will discuss the legal definition of a franchise, review the federal and state laws governing the franchise relationship, where to find information regarding franchise brands, the dangers of becoming an accidental franchise, and introduce some legal consi... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Following the Money: A Primer on Fraudulent Transfer Litigation for the Uninitiated
Collecting debts can become extremely difficult and complicated if the debtor decides to play dirty. Debtors facing large lawsuits may try to make themselves judgment-proof by giving away assets to friends, family and other insiders, leaving little or nothing for the creditor to take. This CLE course examines how to combat and unwind such “fraudulent transfers” under the Uniform Fraudulent Transfer Act (“UFTA”). Additionally, this course will cover the nuts and bolts of avoidance... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Offshore Asset Protection: Exploring the Various Jurisdictions for Protecting your Clients' Assets
By many standards, the U.S. is the world’s most litigious society. Learn how to put your clients in a better position to survive a lawsuit. Offshore Asset Protection is often the best way to protect assets from frivolous claims and lawsuits. This course will cover how to use a multitude of jurisdictions such as the Cook Islands, Saint Kitts and Nevis, Switzerland, and Belize to protect your client’s assets. The course will discuss offshore asset protection, its purpose and why it is ne... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Form CRS: Practical Considerations for Attorneys
Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as conflicts of interest embedded in the firm's way of doing busi... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws
This CLE program covers the basics of the intersection between “cryptocurrencies” and the federal securities and commodities laws. The title of this program comes from Samuel 2, 1:19. Why this title is apt should be obvious to anyone knowing of recent events in the world of crypto. The program discusses the allegations against Samuel Bankman-Fried, the former CEO of a group of companies known as “FTX,” by the U.S. Department of Justice, the Securities and Exchange Commission and the Com... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Rules and Principles of The Division of Real Estate Between Married and Unmarried Partners
This CLE course will focus on the division of real estate among divorcing couples. We will discuss how prenuptial and midmarriage agreements can protect the spouse's interest in the property and especially if a down-payment was provided by a family member. The course will also describe the pitfalls that befall practitioners when drafting divorce or separation agreements dealing with sale and buyout of real property. Examples and practice pointers will be provided. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Highs and Lows of Cannabis Land Use Regulations
More than 155 million Americans now live in states with legal weed. Maryland and Missouri passed legalization earlier this month, meaning there are now 21 states where anyone at least 21 years old will be able to legally possess marijuana. While people will soon be able to legally purchase and use marijuana in 21 states, cannabis remains classified as a Schedule I drug on the Controlled Substances Act, the same category as heroin. That means cannabis use can still be a disqualifying factor for... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO
From due diligence to closing there are traps and pitfalls that can be anticipated. Attend this CLE course and learn from the lawyers and bankers what they confront and worry about during the marketing and distribution of initial public offerings. The panelists will provide real life examples of challenges that could have jeopardized the success of the IPO’s. Avoid the disasters and help assure your clients’ successful underwriting. More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities
This panel will discuss common content standards between FINRA Rule 2210 and MSRB Rule G-21 and describe some key differences. Attendees will hear tips on creating compliant municipal securities communications and considerations for more complex debt instruments. Attendees will gain knowledge of how FINRA’s Fixed Income Regulation Staff works with MSRB on municipal securities matters. Topics Discussed: Comply with the common content standards of FINRA Rule 2210 and MSRB Rule G-21 an... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
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
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Legal Issues in Divorce Cases: Equitable Distribution, Spousal Maintenance and Child Support
The CLE course will detail how New York, somewhat patterned on New Jersey equitable distribution law, instituted and applied equitable distribution to all divorces. The course will include the current applicable statutory and recent case law. The course will also include tips on how to argue for the best possible result for your client on all financial issues. As for spousal maintenance and child support, besides reviewing the current statutes and guidelines, and recent appl... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
"Sweat Equity" in Small Businesses and Venture Startups: The Legal and Tax Issues
When a startup or small business first launches, it is easy to issue shares (almost) tax-free to the company founders. When a shareholder or LLC member receives shares in exchange for his or her labor, or “sweat equity,” the legal and tax issues are a bit more complicated. In this fast-paced, entertaining presentation, you will learn: whether “sweat equity” workers should be treated as employees or independent contractors; the use of restricted stock, options, warrants and other equ... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Cryptomorphing The Legal Profession: Musings From A Stacker In The Rye
The goal of this presentation is to expose lawyers to the rabbit hole of blockchain technology and cryptocurrency, and the effects and potential effects on the legal profession. We will discuss topics ranging from the acceptance of cryptocurrency as payment for legal services to the impact of blockchain technology and cryptcurrency projects on payment systems security transactions, smart contracts, and public record filings. The presentation will be successful if at the end a p... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings
There is much confusion regarding the many cryptocurrencies available and even more about blockchain technology; particularly in light of recent market upheavals. Global observers are keen to determine whether cryptocurrencies and the blockchain technology are taking us in a new currency direction, or whether crypto is a fading fad. The answers to these questions may lie in the legal analysis. What are the legal challenges and do the challenges doom the blockchain? Or can ou... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
What You and Your Clients Need to Know About the USPTO’s Post-Registration Audit
Removing “deadwood” (registrations for marks that are not in use in commerce) from the Trademark Register has become an increasingly important priority for the USPTO in recent years. A few years ago, the USPTO instituted a permanent post-registration audit program by which it requires trademark registrants who file a Declaration of Use to submit proof of use for two additional items in each class, beyond the product for which a specimen is submitted. This webinar will teach you about th... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Privacy and Cyber Breaches: Are You Next?
For businesses large and small, compliance with federal, state, and foreign privacy laws and regulations has become an essential business obligation. These laws govern a company’s collection, storage, use, sharing and disposal of personally identifiable information (“PII”), protected health information (“PHI”), and payment card information (“PCI”). A company’s innocent or inadvertent failure to abide by these laws, or its failure to timely and fully disclose how it performs such tasks,... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Metaverse Law: Intro to ARVR, Issues, IP Ownerships, Monetization, Cyber Currency, and Licensing
With apologies to the Beatles, tech is flowing out like endless rain into a paper cup, it slithers unregulated across the Metaverse. From AltCoin to Web 3.0, this course addresses the breadth of tech law in the Metaverse. The lecturer will review some of the basic terminology (in plain English!) before discussing the application of regulatory and statutory law to the Metaverse, how the Metaverse polices itself, and how the Metaverse is monetized. Specific topics will... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Uses of an Economist to Prove and Rebut Proof of Economic Damages in a Personal Injury Case or Wrongful Death Case
This presentation is practice-oriented especially for attorneys litigating personal injury and/or death cases in any jurisdiction. It delivers practical information about whether an attorney should retain an economist, how to find an economist, a description of the factual and other information an economist will need, the work product(s) of an economist and a direct examination of an economist. The presentation will be comprehensive in scope, discussing the various components... More Info
$1002General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Brokers With a Significant History of Misconduct
This CLE program will discuss the new rules concerning brokers with significant history of misconduct. Panelists review the implications of retaining or hiring brokers with such a history. After attending this session, you will be able to: Understand changes to rule 9200 and 9556 Discuss heightened supervisory procedures for statutory disqualified associated persons Review written request requirement process through the Membership Application Group (MAP) More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities
This CLE program reviews challenges facing firms in monitoring and protecting against fraudulent activities. Join FINRA staff and industry panelists as they provide examples of effective controls their firms have put into place to address AML risks. After attending this session, you will be able to: Review AML and Fraud Protection Red Flags and Effective Practices Discuss monitoring for high-risk suspicious activities Discuss policies, procedures, controls, and education that bridg... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Communications Compliance: Current Developments
This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends. Panelists will also talk about the regulatory implications of complex products and services such as crypto assets and emerging technologies in the marketing compliance space. After attending this session, you... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Conflicts of Interest in Capital Markets and Investment Banking
This CLE program will discuss helpful tips and tools for managing conflicts of interest in capital markets and investment banking firms. Panelists will discuss practices that raise conflict of interest concerns and how to remedy these issues. After attending this session, you will be able to: Understand how some firms identify and mitigate risks associated with conflicts of interest Apply practical compliance approaches to mitigate and monitor for conflicts of interest Know of and... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Considerations and Practices for Supervising Independent Contractors
This CLE program addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance and shares effective industry practices. After attending this session, you will be able to: Understand the challenges associated with supervising independent contractors Identify effective practices for supervision and o... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Consolidated Audit Trail
During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including firm obligations, deadlines and resources. After attending this session, you will be able to: Discuss upcoming key dates How to prepare and resources available More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Gamification, Mobile Apps and Digital Engagement
Panelists share insights into the developing world of digital engagement practices, including gamification, in broker dealers’ mobile apps, marketing, and online platforms. Attend this session to hear how compliance and regulatory experts are responding to the rapidly developing use of data analytics to drive digital communications. Panelists discuss risks and benefits of digital engagement features and how to supervise them effectively. After attending this session, you will be... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Hot Topics in Municipal Securities and Other Fixed Income
FINRA and MSRB staff discuss recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking, and common problems uncovered during Member Supervision and Market Regulation reviews. After attending this session, you will be able to: Review recent enforcement actions on 529s and muni shorts Discuss topics related to municipal securities Discuss recent and ongoing regulatory initiatives More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Market Structure: What Factors Are Driving Changes
During this session, FINRA staff and industry practitioners discuss current developments and future trends in the industry, including best execution guidance and payment for order flow issues. After attending this session, you will be able to: Understand Best Execution guidance Discuss effective practices for reviewing and documenting best execution Discuss technology available to process trades More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Options Markets: Recent Regulatory Issues
Join FINRA staff and industry panelists as they discuss regulatory issues impacting options markets. After attending this session, you will be able to: Discuss recent and ongoing regulatory initiatives Discuss supervision of options trading in customer accounts Identify effective controls, procedures, and technology processes More Info
$350.75General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Remote Supervision
Join FINRA staff and industry panelists as they discuss what they have learned from working remotely. During the session, panelists discuss effective controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment. After attending this session, you will be able to: Identify controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment Review lessons learned and... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Restricted Firm Obligations: What You Need to Know
Join FINRA staff as they discuss Rule 4111 (Restricted Firm Obligations). During the session, panelists review the new obligation and criteria for identification. After attending this session, you will be able to: Review new obligations Identify controls, procedures, and processes that member firms are incorporating to address these obligations Review identification metrics thresholds Discuss restricted deposit accounts More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Vendor Management: Due Diligence and Oversight
During this session FINRA staff and industry practitioners walk through various important considerations when choosing new vendors. Panelists discuss finding a technical solution that is a good fit for your firm, tips on performing an efficient due diligence review, contract issues, and advice on implementing the new software. After attending this session, you will be able to: Understand the limitations and risks of technology to find the right solution for your business needs Develop... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Alternative Investments and Complex Products
This CLE program addresses developments related to alternative investments and complex products. The session emphasizes the importance of understanding product features, characteristics, and their supervisory challenges. After attending this session, you will be able to: Understand the latest regulatory developments related to alternative investments and complex products Discuss due diligence requirements and industry practices when recommending private placement and REIT securities... More Info
$350.75General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Hot Topics in FinTech
Join FINRA staff and industry practitioners as they discuss the growing area of FinTech (Financial Technology). The session includes a discussion on new and innovative ways firms are integrating fintech into their business models and the importance of a strong compliance structure to address regulatory obligations. After attending this session, you will be able to: Gain a perspective on how “FinTech” is defined by various industry stakeholders Discuss the supervisory challenges of t... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, 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-DemandCD/DVD/USB, Online, 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-DemandCD/DVD/USB, Online, 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
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
An Introduction to Chapter 7 Bankruptcy Basics
This is an introductory course for Chapter 7 Bankruptcy. This CLE course will cover the client intake and evaluation process, basics of preparing a petition, the importance of asset investigation, and pitfalls to avoid. The course will also cover common issues that arise during and after the bankruptcy. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, 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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Transit Oriented Development: An Exciting Pillar of Urban Development
Transit-oriented development involves developing an individual building or planning an entire area around public transit infrastructure such as a Metra train station. Suburban TOD in particular involves the coordination of many aspects of land use including: community outreach, suburban renewal and walkable neighborhoods, economic development, and transportation planning. Demand for TOD has grown significantly in recent years leading to more vibrant, livable, sustainable communities ce... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Reverse Mortgages: Stay In Your House For The Rest Of Your Life? Not So Fast!
This CLE Course will discuss in detail, how Reverse Mortgage holders often times file foreclosure actions without any basis to support the actions. The course will examine the problematic determinations by the Reverse Mortgage servicers of non-occupancy by Borrowers and provide guidance for attorneys to properly litigate these actions for their clients. You will be provided valuable insight as to how to effectively and powerfully handle these cases for your clients from incepti... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Recent Important Civil Cases of The Virginia Supreme Court For All Civil Litigators
This CLE program will review 44 written summaries of recent opinions of the Virginia Supreme Court of importance for attorneys practicing civil law in Virginia. These cases cover a wide range of topics including torts, wrongful death, civil rights, contracts, economic loss rule, family law, civil procedure, evidence, causes of action, and affirmative defenses, including immunity and resjudicata/collateral estoppel. Each summary includes an alert which all lawyers should consider from t... More Info
$1002General Credits -
On-DemandCD/DVD/USB, Online, 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
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Unfair, Deceptive, or Abusive Acts or Practices: “I’ll Know It When I See It…”
Welcome to Unfair, Deceptive, or Abusive Acts or Practices (UDAAP). UDAAP is arguably the most important regulation in the mortgage industry. UDAAP impacts every other lending regulation (marketing, fair lending, licensing & communication…) and it impacts every part of the lending cycle (advertising thru servicing closed loans.) What makes this regulation so difficult for mortgage lenders is that it is very subjective (“reasonable consumer” point of view) and is very difficult to defend agains... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Ideas to Cash: Guiding Creative Clients In Monetizing Their Inventions and Other Creations
This CLE course will enable you to turn your client’s ideas into cash. Different forms of protection are described for various creative ideas, followed by steps necessary to procure/secure patents, trademarks, copyrights and trade secrets. Various types of agreements for different monetizing methods are discussed, with samples. Techniques for finding and approaching “targets” are also explained in detail. More Info
$751.75General Credits -
On-DemandCDs, DVDs, USB Stick
So You’re Interested in a Career in Securities Law
Join NYCLA’s Securities and Exchanges Committee as a panel of securities attorneys from different aspects of practice discuss how to prepare for a securities law career, including the skill sets that need to be developed, possible challenges to be confronted, career paths, work-life balance, the different aspects of practice … and more! More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, 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-DemandCD/DVD/USB, Online, 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-DemandCD/DVD/USB, Online, iOS/Android App
A Search for Perfection: Fundamentals of UCC Article 9
Article 9 of the UCC contains a dense set of technical rules relating to secured transactions, all of which can be challenging to unwind. This course is intended to provide a general survey of some the key ideas concerning Article 9, outlining concepts that attorneys should know. Taking a practical approach to exploring Article 9, delving into the fundamentals, from the definition of secured transactions to potential remedies from defaults incurred under the statute. This CLE C... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, 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
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Corporate Philanthropy: Where to Start and How to Get it Right
As Corporate Social Responsibility (“CSR”) continues to trend up, more and more companies are considering philanthropic initiatives. But there are many ways to give back, and each program comes with significant compliance challenges. How do you select and launch a program consistent with your brand -- without making an embarrassing mistake or incurring legal liability? This CLE program will provide an interactive overview of the different options and their compliance regimes. Both new... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, 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 -
On-DemandCD/DVD/USB, Online, iOS/Android App
What Every Family Law Attorney Needs To Know About Debt Collection And Bankruptcy
In the practice of family law there are many factors to consider, including the issues facing the family as one household becomes two. The issues regarding the debts the family has, how each member of the household will be impacted by the debt and what their options are during or after the dissolution of marriage, including bankruptcy are things every Family Law practitioner should know to help their client’s make informed decisions. More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Defining Antitrust Markets in Platform Industries
The effects of the Supreme Court’s landmark antitrust decision in Ohio v. American Express continue to reverberate. Platforms have occupied the antitrust spotlight for several years now, but litigation unpacking and applying Amex to platforms is still in its early stages. This CLE course is designed to update generalists, antitrust practitioners, and inside counsel alike on how lower courts are interpreting and applying Amex when defining antitrust markets involving platforms. The prog... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Understanding Asset Protection
Learn what tools are available to more effectively shield yourself from the effects of any lawsuit by protecting your personal wealth. The panel will discuss the following Topics: History of asset protection in the United States and abroad Understanding which assets are/are not exempt under state and federal law Identifying and understanding different types of risk How to protect real estate and other physical assets How to protect securities and other liquid assets The differe... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
How The New Proposed Tax Bill Can Impact Your Retirement Account
This CLE Course will provide in detail the key provisions impacting retirement accounts such as: $10 million Cap on retirement accounts if your income is above $450,000. The elimination of the Backdoor Roth IRA. If you are above the above-mentioned income limits, you can no longer convert to a Roth IRA.. The elimination of the Mega Backdoor Roth strategy. No longer can you contribute after-tax funds into your workplace plan, or convert after-tax contributions to an IRA. This applies t... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Business Interruption Coverage Post-Covid: Property and Business Interruption Claims and Forensic Accounting
Covid-19 has impacted the economy in so many ways. Private organizations and public entities have turned to their Business Interruption insurance policy to help offset their income losses resulting from the pandemic. This course will explore the current status of insurance claims for business interruption, and explain how a claimant needs to prepare, present and support their lost income claim. Presented by two of the most experienced professionals in business interruption insu... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Can We Get Back to Business? The FDCPA and The Post-Covid World
Now that society is starting to re-emerge from the COVID shutdowns and businesses are ramping back up (if they were not already), issues of cashflow, collections and receivables are again front of mind of business owners. What do businesses need to do regarding their receivables if they are involved in consumer transactions? Did COVID affect the ability of businesses to collect their receivables? What does the Fair Debt Collection Practices Act (FDCPA) require and what are the differenc... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Transfer Pricing for Multinationals: Practical Insights for Attorneys
Transfer pricing is widely considered the most contentious and expensive tax issue facing multinational companies today. However, many companies struggle to navigate the competing requirements of the IRS and international tax authorities. This CLE course will provide insights into how attorneys can identify and assess client global transfer pricing issues from a practical perspective. The course explains the requirements of Section 482, Section 6662 documentation standards, and the O... More Info
$751.5General Credits -
On-DemandCDs, DVDs, USB Stick
NYS New Cannabis Law: What You Need to Know About the Business, Licensing, Regulatory and Criminal Provisions
Join us for a discussion of the new NY Cannabis law and its impact on businesses, including obtaining financing, as well as the licensing and regulatory requirements. The criminal provisions of the new law will also be addressed by Judge Kamins. More Info
$1002.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Increasing Revenue for Your Clients and Yourself Through Franchising
The purpose of this CLE course is to show you how you can increase the revenue of both your client and yourself through franchising. The lecture describes the advantages of franchising, the success of franchising in the United States, the types of businesses that can be franchised, what is involved in establishing a franchise system, the registration requirements of various states, the Franchise Disclosure Document, your duties as a franchise attorney and your options as a franchise a... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Overview of FinTech Regulation and Compliance
A very high-level overview of some of the issues and challenges facing attorneys representing companies that are utilizing new technology to improve and automate the delivery of financial services (FinTech). Overview of the core principles and regulatory regimes in the United States governing key aspects of financial services including banking, securities, funds, money transmission, commodities, and anti-money laundering, and how these affect the operations of FinTech companies.... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Litigation Support Services Performed by Forensic Accountants
Lawyers, judges, and juries often struggle with complex accounting, valuation, and business issues. Therefore, forensic accountants can provide valuable services to litigants and their attorneys. These services can range from interpretive analysis, to investigations, to damages analysis and more. In this course, attendees will learn various types of litigation support services, learn the impact of a forensic accountant on all stages of a litigation, and listen to a case study with r... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Gambling: The "Secret" Addiction
Recent studies have shown that there has been a dramatic increase in impairment due to alcoholism, drug addiction and mental health disorders among members of the legal profession. The statistics are compelling and clearly indicate that 1 out of 3 attorneys will likely have a need for substance use or mental health services at some point in their careers. What about that “other” addiction – Gambling ? The United States Supreme Court, in Murphy vs. NCAA, held that sports gamblin... More Info
$501.25General Credits -
On-DemandCDs, DVDs, USB Stick
Litigation Finance 101: How Funding Can Help Clients and Lawyers
Litigation finance lets third-party funders help lawyers and their clients meet the mounting costs of litigation. Its use is rapidly expanding in the United States, with funders investing in claims on both a single-case and portfolio basis. Our presenters—a litigation funder, and an advisor to clients who use funding—will explain the various ways funders invest in litigation, describe what funding transactions look like, and discuss the legal and ethical rules relevant to funding. More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
An Introduction to Private Investment Funds
An overview of the legal and practical considerations when establishing a private equity fund, real estate fund, or hedge fund. We will review the relevant sections of the Investment Company Act of 1940 (the “40 Act”), the Investment Advisers Act of 1940 (the “Advisers Act”), and the rules promulgated thereunder, including the most commonly used exceptions to registration under the 40 Act and Advisers Act. We will also review relevant provisions of the Securities Act of 1933 (the “33... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Financial Planning for Lawyers
While everyone understands the importance of financial planning, most presentations are centered around retirement planning. However, attorneys have other concerns. Right out the gate they are burdened with significant student loan debt. They start to make good money, but are paying more in taxes. As a result, their children are less likely to qualify for financial aid so they have to weigh their own retirement against their kids’ education. Depending on their comp structure, salary may be dis... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Cryptocurrency, How to Find and Track it in Divorce Litigation
While spouses hiding assets from divorce court is nothing new, cryptocurrencies are changing the game. Bitcoin and other cryptocurrencies can be purchased for cash, held electronically without the help of a third party, and transferred nearly anonymously. This CLE course will start by providing attorneys with a basic understanding of cryptocurrency, how it works, and how it is held by an owner. The course will then provide practical tips on how attorneys and their clients can gather more in... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Cryptocurrency Primer: What They Are, How They Work, Their History, and Their Future
This CLE program will help you better understand cryptocurrency and the history behind such currency. Marshal Shichtman will discuss in layman’s terms, how virtual currency works, what it is, the legal and regulatory issues involved in digital tokens, how they are made, how they trade, governmental classifications, and the future of cryptocurrencies. More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Venture Capital Funds: Formation, Terms, Issues Encountered, and Other Practice Tips for Counsel
The availability of venture capital has given many young companies the financial and advisory support needed help them grow into major corporations, while sparing them from the scrutiny and disclosure requirements demanded in the public markets. Counsel for potential and current portfolio companies would serve their clients well if they are familiar with the inner workings of venture capital funds and the regulatory and other concerns they face. This CLE course will provide an overview... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Purchase Or Sale Of A Business, Or Part Of A Business: Documents Boot Camp
This CLE program will drill down into the many documents that an attorney often needs to prepare or review in connection with the purchase or sale of an entire business or of an ownership interest in a business. This will include the main documents which are usually one of: (1) Asset Purchase Agreements, (2) Stock Purchase Agreements or (3) Membership Interest Purchase Agreements and the circumstance when each type of main Agreement will be employed. We will also explore the many “side... More Info
$1252.5General Credits -
On-DemandCDs, DVDs, USB Stick
What You Need to Know About DeFi: Decentralized Finance and the Law
Join NYCLA's Law and Technology Committee to learn how to prepare your practice and business, both technically and legally, to incorporate the new emerging technology trends -- both safely an efficiently -- to stay ahead of the competition. The traditional finance market is centralized. Central authorities issue the currency that powers our economy. Centralized financial organizations, e.g., banks, control our assets. The centralization of authority and practice across the financial sys... More Info
$751.75General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Basics of Blockchain and Cryptocurrency in Estate Planning
On January 3, 2009, the Bitcoin network came into existence. Since then Bitcoin, and other internet currencies have grown in popularity and credibility. Cryptocurrencies can provide a secure and universal form of payment. They can be stored digitally and can operate without the use of a middleman or bank. This CLE Lecture will cover the basics of cryptocurrency, how the Blockchain works, and how Cryptocurrencies can fit into your Estate plan. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
The Impact of COVID-19 on Mortgages and Foreclosures in New York State
The financial shock from the COVID-19 pandemic threatens the housing security of millions of Americans, prompting federal, state, and local judiciaries to move quickly to ward off foreclosures. This CLE presentation will discuss how COVID-19 has affected mortgages and foreclosures in New York State and the actions that can be taken to preserve a borrower’s home. This presentation will cover: federal foreclosure moratoriums and forbearance of mortgage payments under the Coronavirus Aid... More Info
$501.25General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
SPAC IPOs: Hotter Than Ever and How They Work With Forms
A Practitioner’s Guide to the formation, filing and public offering of the securities of a Special Purpose Acquisition Company(SPAC), with forms. This CLE course provides insights, examples and explanations of the public offering process. The course is suitable for all attorneys who represent business entities of any kind. Dan Brecher is a nationally known, widely published securities attorney who has been lead counsel in hundreds of public and private offerings, including SPACs.... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Collections in the Age of Covid
We are living through incredible times. No one could have suspected that we would be facing a global pandemic that virtually shut down life as we know it. All too many businesses remain closed or are opening to a fraction of capacity. Many people remain out of work or working part-time. But what can you do if a business entity or person/consumer owes you money? Such receivables could wreak havoc on your own business and its future viability. Being the managing partner of a small law fi... More Info
$751.5General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)
One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent witnesses during these proceedings. What is FINRA really trying to accomplish. What should the witness try to achieve and how can the witness avoid dangerous pitfalls. More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Fiduciary Duty For Lawyers In The Capital Markets
This CLE Course will address the Professional Standards for Lawyers, and other Professionals in the Capital Markets and Financial Service Industry. It will include subjects such as legal opinions, advising the Board with respect to unlawful and unethical conduct and conflicts, and representing the organization and constituents who may have adverse interests. There will be discussion of the overriding concept of Fiduciary Duty, and the Specia... More Info
$501.25Ethics Credits