North Dakota CLE - On-Demand Courses
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
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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
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
Ad Review Workshop: Part 1
During this highly interactive and dynamic session, attendees apply FINRA advertising rules to several mock advertisements and uncover the hidden concerns. Attendees work in small groups and present their findings to fellow participants, while moderators present the regulatory perspective, clarify any misperceptions and answer questions. 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
Ethical Concerns for Vehicle and Traffic Law Matters
How do you respond when a Judge asks you to provide potentially damaging information about your client? This CLE course attempts to address strategies to navigate potentially perilous ethical concerns with regard to Vehicle and Traffic Law matters. I will discuss ways you can be an effective advocate for your client while remaining compliant with your ethical responsibilities. This includes plea negotiations with the prosecutor on DWIs and moving violations, dealing with plea restri... More Info
$501Ethics Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Digital Communications and Social Media
In the rapidly developing world of digital marketing, how can firms stay in compliance? Can firms communicate relevant, meaningful information in the digital age? Attend this session to experience how industry and regulatory experts are grappling with these challenges. The panel covers current topics including how firms engage technology to address their compliance obligations and creative ways to use effective disclosure. More Info
$501General Credit -
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
When One Door Closes: A Primer on Automatic Door Cases for the Premises Liability Practitioner
It’s surprising how frequently doors cause injuries to patrons of businesses, patients at medical facilities, and residents of apartment complexes. The practitioner who is not familiar with the theories of liability in these cases can often get lulled into a belief that the building owner or store operator bears no responsibility for these injuries. This CLE course examines the nuts and bolts of handling an automatic door case for the personal injury practitioner. From initial intake,... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Labor and Employment Law Update: What’s New and What’s Next
This CLE will include both New York State and Federal laws and will discuss updates and developments in labor and employment law. Some of the topics will include: The latest Covid requirements, (yes there are still specific laws and issues on this), sick leave, Unemployment Insurance relating to 1099’s, discrimination, workers’ compensation, wage and hour law updates, electronic monitoring, arbitration agreements, non-compete and non-solicitation agreements and other labor and emplo... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Legal Ethics: Confidentiality and Taking Remedial Measures
Confidentiality is one of the three main fiduciary duties a lawyer owes to their client. Without strict confidentiality, clients may not feel free to discuss sensitive matters with their lawyer. This can sometimes clash with the lawyer’s obligations of candor to the tribunal when evidence that has already been offered turns out to be false. There are significant variations among the jurisdictions on how to deal with evidence that the lawyer discovers is false. Two of the largest st... More Info
$501Ethics Credit