New Mexico MCLE - Finance and Banking Courses
This is a listing of Finance and Banking 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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Regulation Best Interest and Form CRS: Recent Observations and What to Expect
Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying with the rules. Panelists share what they are seeing during compliance examinations, effective practices, and resources available to help firms comply with future initiatives. After attending this session, you will be able to: Discuss... More Info
$501General 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 -
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
$501.2General Credits -
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
$501.1General Credits -
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
$501.1General Credits -
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
$501.2General Credits