Iowa CLE - Corporate Law Courses
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FLSA: New OT Rule: What You Need to Know
This CLE program will explain the key provisions of the proposed FLSA Overtime Rule. You will learn how to prepare to comply while avoiding lawsuits and fines. What You'll Learn What will the new DOL rule change? How can you properly classify employees as exempt or non-exempt? What is the new salary level threshold? When will the new FLSA overtime rule take effect? What changes should you make in your organization to comply? Will there be court challenges to the new rule? More Info
$501General Credit -
Telling Them What They Don’t Want to Hear: Maintaining Your Ethics and Your Client Relationships
This CLE course covers the interplay of (1) ethical issues and (2) relationship issues in talking with clients about things they don’t necessarily want to hear. These things include talking with them about (a) when things don’t go the way you’ve planned; (b) when you’ve made a mistake; (c) when they have what you think is a bad idea; (d) when you don’t believe them; (e) when they want you to do something inappropriate; and (f) when they may be mentally incompetent. The perspective is t... More Info
$501Ethics 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 -
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 -
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 -
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 -
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 -
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 -
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 -
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