North Dakota CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for North Dakota. Please make your selection below of North Dakota 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.
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
Instantly Print Your CLE Certificates
-
On-DemandCD/DVD/USB, Online, iOS/Android App
Vendor Management: Due Diligence and Oversight
During this session FINRA staff and industry practitioners walk through various important considerations when choosing new vendors. Panelists discuss finding a technical solution that is a good fit for your firm, tips on performing an efficient due diligence review, contract issues, and advice on implementing the new software. After attending this session, you will be able to: Understand the limitations and risks of technology to find the right solution for your business needs Develop... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Alternative Investments and Complex Products
This CLE program addresses developments related to alternative investments and complex products. The session emphasizes the importance of understanding product features, characteristics, and their supervisory challenges. After attending this session, you will be able to: Understand the latest regulatory developments related to alternative investments and complex products Discuss due diligence requirements and industry practices when recommending private placement and REIT securities... More Info
$350.75General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Hot Topics in FinTech
Join FINRA staff and industry practitioners as they discuss the growing area of FinTech (Financial Technology). The session includes a discussion on new and innovative ways firms are integrating fintech into their business models and the importance of a strong compliance structure to address regulatory obligations. After attending this session, you will be able to: Gain a perspective on how “FinTech” is defined by various industry stakeholders Discuss the supervisory challenges of t... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Senior and At-Risk Investors
Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected. After attending this session, you will be able to: Review FINRA Rules 2165 & 4512 Discuss elder abuse prevention and protection act Review State Report and hold laws More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Social Media and the Rise of the Finfluencers
Human behavior has evolved as a result of the pandemic. For the financial services industry, the rapid acceleration of digital adoption has dramatically changed the way we engage with each other and our clients. Join FINRA staff and industry panelists as they discuss how social media and social media influencer are affecting the industry. Panelists discuss new developments, effective compliance practices, and how their firms are managing social media obligations. After attending t... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
Building a Successful Solo Mergers and Acquisitions Practice
This CLE program will focus on the tools needed to add a successful mergers and acquisition practice in your firm.. Take a step-by-step look at key issues including: what is an M&A practice, flowcharts, checklists, practice tips, software suggestions and client management hints. More Info
$501.25General Credits