New Mexico MCLE - All Courses
This is a listing of CLE Courses for New Mexico. Please make your selection below of New Mexico CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
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Ethical Considerations in Conducting Investigations
Investigations by lawyers are an essential element of most litigation matters. Ethics rules make it clear what lawyers can say and do and they also outline what investigators can do on the attorney’s behalf. This CLE presentation will provide a strong understanding of the ethical issues involved in conducting investigations. The course will address the following topics: Understanding what investigators can and cannot do Knowing the difference between ethical violations and crimina... More Info
$501Ethics Credit -
FINRA’s Examination and Risk Monitoring Program
Attend this session to learn about the firm grouping structure and lessons learned during implementation. During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what firms can expect going forward. After attending this session, you will be able to: Understand new organizational structures in the Exam, Specialist and Risk Monitoring Programs Discuss Risk Monitoring activities Discuss what firms can... More Info
$501General Credit -
Fraud Detection and Prevention
Attend this session to hear about recent and noteworthy fraud cases. This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the brokerage industry, provide tips to identify potential “red flags,” and discuss what to do if a fraudulent scheme is suspected. After attending this session, you will be able to: Understand emerging trends in this new COVID environment in sec... More Info
$501General Credit -
Gamification, Social Media, and Digital Communications Perspectives
Attend this session to hear how regulatory experts are evaluating the rapidly changing world of digital communications to capture investors’ attention and influence their behavior. The panel discusses risks and benefits of gamification features on broker-dealers’ apps and websites, and also considers the effects of digital marketing, notifications and alerts, and the increased impact of social media during the pandemic and beyond. More Info
$501General Credit -
Market Regulation Priorities
Attend this session to hear about market regulation priorities, including current initiatives and rulemaking. This session provides updates on market regulation priorities, including current initiatives and rulemaking. FINRA panelists share thoughts on equities, options, and fixed income compliance programs. After attending this session, you will be able to: Understand FINRA Market Regulations’ initiatives, priorities, and significant matters Discuss major developments in eq... More Info
$501General Credit -
Remote Supervision: Compliance Challenges in a Remote Working World
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all staff to remote work environments and implement remote supervisory practices. Join FINRA staff and industry panelists as they discuss challenges firms face with staff working from home during the COVID-19 pandemic. Panelists also share what they have learned from these events and how they have improved their Business Continuity P... More Info
$501General Credit -
Privacy Law & Policy: Keeping Clients Out of Regulators’ Crosshairs
In today’s evolving patchwork of privacy laws, every consumer-facing business is under growing compliance pressure as states take aim at consumer issues through general privacy laws like California’s Consumer Privacy Act (CCPA) and enhanced state data breach laws. This session will provide a general overview of current and emerging federal and state privacy regulations. It will also provide strategies and best practices for identifying potential privacy gaps and advising clients on compliance... More Info
$751.5General Credits -
Youth Court: Entering a New Era of Juvenile Justice
Recently, New York State enacted legislation raising the age of automatic criminal responsibility from 16 to 18. Prior to the signing, New York was one of only two states that charged all youth as adults once they reached the age of 16. Despite the change in the law, children as young as 13 still may be charged as Juvenile Offenders (JOs) and youth ages 16 and 17 can be charged under a newly created category, Adolescent Offender (AO). JOs and AOs may have their cases adjudicated in... More Info
$751.6General Credits -
Basics of IRA Taxation & Investment Rules
This CLE course will provide a detailed review of the basic taxation rules of all IRAs, including the Traditional IRA, Roth IRA, SEP IRA, and SIMPLE IRA and will also cover the prohibited transaction and unrelated business taxable income rules as they apply to retirement accounts. The course will explore the history of the U.S. retirement system, concept of tax deferral, as well as detail the contribution, distribution, and other related tax rules regarding each specific IRA. The cours... More Info
$751.5General Credits -
How to Handle an Employment Discrimination Case
Hear from a distinguished panel, including the Assistant Commissioner of NYC Commission on Human Rights and Magistrate Judge Judith McCarthy, what you need to know to handle an employment discrimination case. Our panel will discuss: Overview of Agency Practice: Drafting a Complaint and answer Litigation Tips from the Plaintiff’s Perspective Litigation Tips from the Defendant’s Perspective Judicial Perspective on Employment Discrimination Litigation … and MORE!! More Info
$1252.4General Credits