Rhode Island MCLE - On-Demand Courses
This is a listing of CLE Courses for Rhode Island. Please make your selection below of Rhode Island 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.
MCLE Courses Available Online & iOS/Android App and with Live Webinars!
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On-DemandOnline & iOS/Android App
The Uses of an Economist to Prove and Rebut Proof of Economic Damages in a Personal Injury Case or Wrongful Death Case
This presentation is practice-oriented especially for attorneys litigating personal injury and/or death cases in any jurisdiction. It delivers practical information about whether an attorney should retain an economist, how to find an economist, a description of the factual and other information an economist will need, the work product(s) of an economist and a direct examination of an economist. The presentation will be comprehensive in scope, discussing the various components... More Info
$1002General Credits -
On-DemandOnline & iOS/Android App
Legal Debt Collection: Best Practices in the Current Environment
Discover methods that work in the debt collection law practice. Learn where the pitfalls are and how to avoid them. This is a basic course for those who are interested in exploring this field of law. In this CLE we will explore the collection legal practice from beginning to resolution. More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Brokers With a Significant History of Misconduct
This CLE program will discuss the new rules concerning brokers with significant history of misconduct. Panelists review the implications of retaining or hiring brokers with such a history. After attending this session, you will be able to: Understand changes to rule 9200 and 9556 Discuss heightened supervisory procedures for statutory disqualified associated persons Review written request requirement process through the Membership Application Group (MAP) More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities
This CLE program reviews challenges facing firms in monitoring and protecting against fraudulent activities. Join FINRA staff and industry panelists as they provide examples of effective controls their firms have put into place to address AML risks. After attending this session, you will be able to: Review AML and Fraud Protection Red Flags and Effective Practices Discuss monitoring for high-risk suspicious activities Discuss policies, procedures, controls, and education that bridg... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Communications Compliance: Current Developments
This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends. Panelists will also talk about the regulatory implications of complex products and services such as crypto assets and emerging technologies in the marketing compliance space. After attending this session, you... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Conflicts of Interest in Capital Markets and Investment Banking
This CLE program will discuss helpful tips and tools for managing conflicts of interest in capital markets and investment banking firms. Panelists will discuss practices that raise conflict of interest concerns and how to remedy these issues. After attending this session, you will be able to: Understand how some firms identify and mitigate risks associated with conflicts of interest Apply practical compliance approaches to mitigate and monitor for conflicts of interest Know of and... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Considerations and Practices for Supervising Independent Contractors
This CLE program addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance and shares effective industry practices. After attending this session, you will be able to: Understand the challenges associated with supervising independent contractors Identify effective practices for supervision and o... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Consolidated Audit Trail
During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including firm obligations, deadlines and resources. After attending this session, you will be able to: Discuss upcoming key dates How to prepare and resources available More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Gamification, Mobile Apps and Digital Engagement
Panelists share insights into the developing world of digital engagement practices, including gamification, in broker dealers’ mobile apps, marketing, and online platforms. Attend this session to hear how compliance and regulatory experts are responding to the rapidly developing use of data analytics to drive digital communications. Panelists discuss risks and benefits of digital engagement features and how to supervise them effectively. After attending this session, you will be... More Info
$501General Credit -
On-DemandOnline & iOS/Android App
Hot Topics in Municipal Securities and Other Fixed Income
FINRA and MSRB staff discuss recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking, and common problems uncovered during Member Supervision and Market Regulation reviews. After attending this session, you will be able to: Review recent enforcement actions on 529s and muni shorts Discuss topics related to municipal securities Discuss recent and ongoing regulatory initiatives More Info
$501General Credit