Iowa CLE - All Courses
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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 -
Top 10 Lease Mistakes & Pitfalls and How to Steer Clear of Them
This program will provide an overview of commercial real estate leasing and the common mistakes made by those drafting and reviewing such leases. Although geared towards landlords and the pitfalls they want to avoid, it will also address some tenant concerns and the best way to negotiate the terms of the lease, from both viewpoints. We will examine the most common provisions in a commercial lease, how to ensure that the parties are protected from unintended consequences and ways to m... More Info
$751.5General Credits -
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 -
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 -
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 -
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 -
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 -
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 -
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 -
Defying Limits: Breaking the Boundaries of Adverse Possession
Adverse possession is a phrase we all learned in law school, and then promptly forgot. But the concept has been with human society for millennia, and will likely last until the final day a person walks the earth. So long as the elements are met, adverse possession gives people the right to automatically be deemed owners of real estate that they may not have purchased – even without filing a suit for such relief. This CLE course will address the various secrets, critical elements, and... More Info
$1002General Credits