UnitedCLE.com: Arkansas CLE Course Catalog

FLSA: New OT Rule: What You Need to Know

This CLE program covers the key provisions of the proposed FLSA Overtime Rule, helping you prepare for compliance and avoid lawsuits and fines. Topics include: Changes introduced by the new DOL rule Proper classification of employees as exempt or non-exempt The new salary level threshold Effective date of the new FLSA overtime rule Necessary organizational changes for compliance Potential court challenges to the new rule More Info

$29

1General Credit

Telling Them What They Don’t Want to Hear: Maintaining Your Ethics and Your Client Relationships

This CLE course explores the interplay of ethical and relationship issues when communicating difficult topics to clients. These topics include: situations where plans go awry; admitting mistakes; addressing clients' bad ideas; expressing disbelief in clients' statements; handling requests for inappropriate actions; dealing with potential mental incompetence in clients. Presented from the perspective of an in-house Chief Legal Officer focused on interactions with a single... More Info

$34

1.25Ethics Credits

Compliance and Legal Trends in The Financial Industry

Join leading experts from member firms as they explore the latest trends and strategic priorities shaping the legal and compliance landscape. In this dynamic CLE session, our panelists will share their invaluable insights on how evolving business, regulatory, and technological changes are transforming these critical functions. Participants will gain a comprehensive understanding of: Emerging trends and challenges in legal and compliance roles. Strategic focus areas to enhance legal and... More Info

$29

1General Credit

Ask FINRA Senior Leaders

In this CLE session, senior staff from FINRA will provide crucial updates on current regulatory issues and initiatives. Join us as expert panelists delve into FINRA's risk-based examination program, recent disciplinary actions, market regulation programs, and the latest and forthcoming rules. This session will cover a range of vital topics, including: Modernizing FINRA Rules in a Post-COVID World: Explore initiatives like the Remote Supervision and Inspection (RSL) and the Remote In... More Info

$29

1General Credit

Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals

Join our expert panel for a deep dive into Regulation Crowdfunding (Regulation CF) and its impact on broker-dealers and funding portals. This CLE session will provide valuable insights into regulatory risks and best practices for maintaining compliance. Key discussion points include: Regulation CF for Broker-Dealers: Understand the specific requirements and strategies for broker-dealers participating in crowdfunding offerings. Regulation CF for Funding Portals: Explore the unique c... More Info

$29

1General Credit

Crypto Assets: Trends, Regulatory Developments and Resources

Dive into the latest updates in cryptocurrency regulation in this insightful CLE session. We'll cover a range of critical topics, including the recent crypto-assets retail communications initiative, emerging trends in crypto misconduct, and practical resources for navigating the evolving landscape. Key discussion points include: Regulatory Developments: Review the December 2023 crypto-assets retail communications sweep. Address disclosure and compliance concerns in OBAs and priv... More Info

$29

1General Credit

Financial Crimes: Outpacing the Threats

In today's rapidly evolving financial landscape, the threat of financial crimes is ever-present and increasingly sophisticated. This CLE course delves into the latest trends and emerging tactics in financial crime, including fraud, money laundering, and cybercrime. Through a combination of theoretical foundations and practical applications, participants will learn how to anticipate and counteract these threats. Key topics include: Understanding the spectrum of financial crimes and th... More Info

$29

1General Credit

FINRA's Disciplinary Hearing Process

This CLE course features perspectives from FINRA Enforcement counsel, defense counsel, and a hearing panelist. The course aims to enhance your understanding of FINRA's disciplinary hearing process, focusing on the key differences between self-regulated hearings and those conducted by administrative law judges. Topics covered will include: The distinctions between FINRA hearings and administrative law judge hearings. The conflicts clearance process for panelists and hearing officers.... More Info

$29

1General Credit

Developments in Remote Supervision

This CLE course will delve into the newest advancements in remote supervision, featuring insights on the remote inspection pilot program, updated supervision rules for Residential Supervisory Locations, and best practices for risk-based supervision. Key topics include: Transitioning from current COVID relief measures to the implementation of Rules 3110.18 and 3110.19 Effective reporting of residential locations and RSLs in Firm Gateway Best practices and key considerations for rem... More Info

$29

1General Credit

Fixed Income Securities Regulatory Outlook

This CLE session will delve into the most recent regulatory developments impacting fixed income and municipal securities. This comprehensive session will cover crucial topics such as Time of Trade disclosures, updates to SEA Rule 15c2-11, and critical insights for firms navigating examination priorities, findings, and enforcement actions. Key points of discussion will include: The latest amendments to SEA Rule 15c2-11. Detailed analysis of Time of Trade disclosures, with a focus on... More Info

$29

1General Credit

Modernizing Off-Channel Communications Supervision

Join our panelists as they share insights from thematic reviews of off-channel communications, including text messages and social media platforms. Discover effective techniques firms are using to oversee their communications. This session will cover: The communications landscape Rule requirements for books and records, public communications, and supervision SEC and FINRA enforcement actions Observations from reviews of off-channel communications OSE-facilitated communications roundt... More Info

$29

1General Credit

Promoting Market Integrity: FINRA’s Role in Market Structure

Gain insights from regulatory and industry experts on FINRA’s efforts to uphold market integrity and the impact of new and evolving regulations. This CLE program will cover: New and emerging rules SEC market structure proposals Securities lending practices Transparency initiatives shaping the market. More Info

$29

1General Credit

Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

This CLE course delves into essential considerations for firms outsourcing activities or functions to third-party providers. Learn from panelists about mitigating vendor risk through robust technology governance programs that cover the entire vendor engagement lifecycle, from onboarding and ongoing due diligence to event response and offboarding. Topics include: Vendor management and due diligence per Regulatory Notice 21-29 (FINRA's reminder of supervisory obligations related to th... More Info

$29

1General Credit

The Progression of Regulation Best Interest and Form CRS

This CLE program will explore recent observations on firms' compliance with Regulation Best Interest (Reg BI) and Form CRS. The discussion will provide valuable insights and practical guidance on key topics such as Reasonably Available Alternatives, the Care Obligation, and managing Conflicts of Interest. Key topics include: Recent findings by the SEC and FINRA regarding Reg BI and Form CRS compliance. Interpretation, guidance, and best practices: In-depth analysis of recent SEC... More Info

$29

1General Credit

Basic Business Lawyering For Small Company Clients

Small companies have specific legal concerns, and they are not always the same as those that apply to medium or large companies. Their legal needs may differ as well. This informative introductory CLE course will help new attorneys planning to practice business law as well as seasoned attorneys looking to pivot to the area and represent smaller companies, typically described as those with less than $100M annual revenue and fewer than 500 employees, with the skills to navigate these are... More Info

$107

3.75General Credits

International Intellectual Property Transactions in Many Countries

Beginning with a brief review of the fundamentals of intellectual property categories recognized under US law, as well as those of many other countries, and the methods for internationally registering associated intellectual property, this CLE course will then delve deeper into a discussion of issues relating to why protection under these categories is insufficient. The course will address developing business activities that are difficult condense into the traditional IP categories, an... More Info

$55

1.75General Credits

Unusually Important Federal Tax Cases: What Attorneys Need to Know

This CLE program delves into six recent federal taxation cases that hold significant importance for tax attorneys. It offers valuable insights for business law attorneys navigating the complexities of federal taxation. By examining court opinions, participants will gain an understanding of how federal tax law evolves in contrast to legislative and regulatory processes. The cases discussed in this program encompass various taxation topics including: Valuation of family-held S corporat... More Info

$55

2General Credits

Corporate Transparency Act: Lessons from Round One of Implementation

Pursuant to the Corporate Transparency Act ("CTA"), many legal entities, both foreign and domestic, operating in the United States, have contemplated whether to file beneficial ownership information ("BOI") reports with the Financial Crimes Enforcement Network ("FinCEN"). This CLE course, presented by an interdisciplinary panel of specialists, will address the commercial practicalities of compliance with the CTA as well as the complexities. While the reporting requirements will only in... More Info

$29

1General Credit

Corporate Transparency Act: Critical Terms and Concepts

The Corporate Transparency Act, which requires beneficial owners of nearly every entity to report to FinCEN unless a specific statutory exception applies, went into effect January 1, 2024. According to this act, newly formed entities will have only 90 days to register, while existing entities will have one year to comply. This CLE course will offer an introduction to the CTA, and its impact on the practice of attorneys who form, transfer, operate, or otherwise works with legal entities... More Info

$29

1General Credit

Franchise Law: From Contract Negotiation to Litigation

Franchise agreements are a complicated process. This CLE course will review all the steps involved from term negotiation to signature. The course will also address litigation and/or termination and how to negotiate specific provisions that impact a client’s rights. The terms that are customarily litigated and how to demand and successfully receive the information necessary to effectively represent your client in court will be presented. More Info

$29

1General Credit

Antitrust Primer in The Age of The Internet/Information

What factors are behind the increased emphasis on enforcing competition laws by entities such as the FTC, the DOJ Antitrust Division, the States, and through private litigation? This CLE course explores the dynamics through an antitrust primer, delving into pivotal cases that address both individual company practices and collaborative behaviors that contravene antitrust laws. The curriculum subsequently hones in on significant recent antitrust cases initiated by the government, specifi... More Info

$81

3.25General Credits

Intellectual Warfare: An In-House Counsel's Guide to Bringing and Defending Against Intellectual Property Lawsuits

Intellectual Property (IP) is a valuable asset for an organization. This informative CLE course will explain how to identify and utilize an IP to further business goals. The course will explain the types of IP’s that exist, the associated costs with obtaining and maintaining the various types of IP's, costs of IP acquisition, negotiation strategies, licensing, enforcement issues and defensive actions when faced with another’s IP. The course aims to impart wisdom in the IP space as well... More Info

$55

1.5General Credits

Commercial Pace, The New Kid On The Block: The Legal Framework For A New Form Of Commercial Real Estate Financing

The Commercial Property Assessed Clean Energy Financing (C-PACE) is a new tool for property owners and developers which offers low interest and longer terms with a super-priority lien. It functions like a muni bond but can still be placed in a capital stack. This CLE course will explain the basics of the C-PACE is enabled and describe its legal structure, status and how it can be put to work for your clients from developers, banks, local governments or private owners. More Info

$29

1General Credit

What Attorneys Need to Know About Reading and Understanding Financial Statements

Like any field, businesspeople have a lingo all their own. Phrases such as NOPAT, Operating Profit, Net Income, EBITDA, retained earnings, current vs. long-term assets and liabilities, Free Cash Flow are all used regularly in the business world, but are practically a foreign language to attorneys. This CLE course will review basic financial statements, such as income statements, balance sheets and cash flow statements to help you understand the language of business so you can better re... More Info

$55

1.5General Credits

Advising a Client as to the Purchase of a Franchise

This informational CLE course is designed to provide a prospective franchisee with the necessary information to purchase a franchise. The course will focus on provisions in the Franchise Disclosure Agreement as well as typical provisions in Franchise Agreements. The political considerations that may arise with respect to the franchise location will also be addressed. More Info

$29

1General Credit

What If the Government Doesn’t Save My Client’s Bank? Preparing For the Next Bank Crisis

Though extraordinary intervention by the government and private sector protected uninsured depositors, the recent banking system crisis resulted in several failures and a loss of confidence, especially for owners and debtholders who lost everything. The crisis further highlighted that there is no expectation of the government protecting uninsured depositors if another bank fails. This CLE course, presented by a regulatory partner at a prominent law firm, will examine the recent trauma... More Info

$29

1General Credit

Evaluating a Franchise for a Franchisee: What Attorneys Need to Know

The decision to purchase a franchise is fraught with legal issues. This CLE course will guide counsel representing and franchisee in evaluating such a decision. The course will explain how to review the FDD and Franchise Agreement and how to negotiate the addendum. Key considerations to analyze in deciding to purchase as well as strategies for negotiating the deal will be discussed. More Info

$55

1.5General Credits

Franchise Sales Compliance

Designed to assist legal counsel representing a franchisor in their understanding of how to client-franchisor compliance with federal and state laws related to franchises, this CLE course will address compliance issues in practical and understandable terms. The course will provide practical examples to assist counsel in explaining concepts to potential and current clients. More Info

$55

2General Credits

Broker Lien Rights: What Attorneys Need to Know

Presented by a seasoned attorney who authored or lobbied on behalf of the roughly 34 states with commercial real estate broker lien rights, this CLE course will address a variety of related issues. The course will address protected commission claims, the prerequisite of such claims, timing, and legislative history. Advice on enforcements as well as guidelines for drafting a lien, asserting and serving a claim, foreclosing and defending judgement a the appellate level will be addressed.... More Info

$55

1.5General Credits

Breaking Up Is Hard To Do: Navigating Partnership Disputes and High-Impact Partner Departures

Breakups can be challenging, and although they may not be as severe as divorces, managing conflicts between partners and dealing with the departure of a significant collaborator can be tough. In this informative CLE, we will explore effective strategies for handling disputes and separations, covering important aspects such as the responsibilities of a firm towards an attorney and vice versa, communication techniques, ethical considerations, and privacy concerns. More Info

$34

1Ethics Credit

Conducting Sexual Harassment Investigations at Law Firms

Conducting internal investigations is inherently intricate, particularly when it involves probing allegations of sexual harassment within your organization. In this CLE course, you will be provided with a comprehensive understanding of the legal intricacies and obligations involved in such investigations. You will be guided through a step-by-step process, ensuring compliance with current statutes. The course will cover essential topics including internal communication protocols, contra... More Info

$29

1General Credit

Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored

Designed to offer attorneys an in-depth understanding of the current state of US antitrust regulations and the role of antitrust agencies in reviewing and challenging mergers, this CLE course will present a comprehensive overview of the merger control process in the US, priorities of the antitrust agency priorities, highlights of recent merger challenges and forthcoming revisions to the US merger guidelines. The course will begin with an exploration of the core aspects of the US merge... More Info

$29

1General Credit

Preparing a Business Client to Franchise

This CLE course will address the basic issues involved in representation for a client who wants to franchise. The course will present the practical considerations of franchising, the franchisor’s legal obligations and the most important decisions that need to be made. More Info

$55

1.5General Credits

Introduction to Franchising Law

Whether you are representing a franchisor or a franchisee, it’s important for representing counsel to understand the basic legal considerations involved in franchising. This CLE course will present the legal definition of a franchise and review both state and federal laws which govern the franchise relationship. The course will provide resources for information on franchise brands, explain the pitfalls of becoming an accidental franchise and introduce the legal considerations to take i... More Info

$55

1.5General Credits

Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO

This CLE course will offer a comprehensive overview of what lawyers and bankers confront during the marketing and distribution process of IPO’s. The course will address potential pitfalls and issues that may arise and provide real-life examples of the many hurdles that could potentially jeopardize your success. Learn about what faces you in the IPO underwriting process and ensure yours and your client's success by anticipating problems and acting strategically. More Info

$55

1.75General Credits

Don’t Get Caught Without A Contractor’s License: The Downfalls and Damages of Working Without a License

Violating license requirements can have serious consequences for contractors. The penalties tend to be severe and do not allow for equitable remedies. This CLE course will offer a basic overview of the rules in California and explain the consequences for contractors operating without one. The course will review the purpose of the licensing laws and how they are applied to contractors and those who perform construction services as well as exemptions to applicability. Recent case law c... More Info

$29

1.25General Credits

Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities

This CLE course will address the most common content standards between FINRA Rule 2210 and MSRB Rule G-21 as well as their primary differences. The course will offer tips and strategies on creating compliant municipal securities communications and considerations for more complex debt instruments. An understanding of how FINRA’s Fixed Income Regulation Staff works with MSRB on municipal securities matters will be presented as will the additional responsibilities of dually registered bro... More Info

$29

1General Credit

Digital Communications and Social Media

With digital marketing rapidly changing, how do firms remain in compliance? How do we communicate relevant, meaningful information in this dynamic digital age? This CLE course will explain the challenges being faced by industry and regulatory experts and how they are successfully addressing these challenges. The course will touch on hot button issues such as how firms engage technology to address their compliance obligations and how to implement creative methods for effective disclosur... More Info

$29

1General Credit

Variable Products & Retirement Planning

Presented by FINRA staff and industry practitioners, this CLE course will explain variable and retirement planning productions including how to create a variable product communication with respect to content and performance. Select topics such as supplemental hypothetical illustrations, comparisons and complexity of investment options and contracts will be addressed as will the importance of audience/context, substantiating claims, and disclosure. A successful review process and an und... More Info

$29

1General Credit

Ad Review Workshop: Part 1

This dynamic, highly interactive CLE course will offer attendees the opportunity to apply FINRA advertising rules to several mock advertisements and uncover the hidden concerns. Attendees will work in small groups and present their conclusions to the larger forum with moderators presenting the regulatory perspective, and clarifying misperceptions. More Info

$29

1General Credit

Current Communications with the Public Regulatory Issues

This CLE course offers an in-depth discussion on current communications with public regulatory issues. Presented by FINRA and SEC staff, the course will include a discussion of the new Investment Advisers Act Marketing Rule. The course will address recent communications proposals and rule changes as well as provide an understanding of the new marketing rule that will impact firm communications. More Info

$55

1.5General Credits

Exempt Offerings

Designed to address industry and regulatory developments related to Reg D and Reg A+ offerings, this CLE course will address recent regulatory findings and common concerns. The course will also offer practical information and best practices for firms offering these products to retail investors. A discussion of Regulatory Notices 20-21 and 21-26 will be included. More Info

$29

1General Credit

Investment Companies Current Topics

This CLE course will address a variety of advertising compliance issues concerning registered investment companies. These may include mutual funds, ETFs and closed-end funds. FINRA staff and industry experts will present the compliance challenges related to complex products such as single stock ETFs, non-transparent ETFs and ESG focused investments and crypto futures funds,. The panel will also discuss regulatory interpretations and offer tips to stay in compliance. More Info

$29

1General Credit

Complexities of Acquiring Control: Where the Fed’s Control Rule Meets Other Regulatory Definitions

The Federal Reserve’s finalized revisions to determining one company’s control over another for purposes of the Bank Holding Company Act and the Home Owners’ Loan Act have been completed and though the final rule codified existing control standards, it simultaneously introduced new concepts and raised critical questions about the industry. Since these revisions, the industry has continued to grapple with how these revisions should be applied, particularly as it applies to contractual r... More Info

$55

1.5General Credits

Transnational Legal and Cultural Issues Arising when Doing Business Internationally

Transnational transactions often require documentation which must satisfy more than one legal system. This CLE course will explain the various issues which may arise when documenting transnational transactions. Using examples of American companies doing business in China, the course will present the need to understand and interpret the laws and regulations within the context of their country of origin and where the business is being conducted. The course will explain how the understand... More Info

$29

1.25General Credits

A Primer on Trademarks: What Every Practitioner Needs to Know

Trademark registration and protection is increasingly important in today’s digital world. This CLE course will cover all the basics of trademark registration and protection including providing an understanding of what constitutes a trademark and the different types. Trademarks that are able to be registered, as well the benefits of registration and the registration process will be reviewed. Types of infringement and strategies for preventing infringement as well as available re... More Info

$29

1General Credit

Managing Your Client’s Series A Offering of Securities: A Step by Step Guide

Before a start-up or early stage company is ready for its first round of venture capital, known as a Series A Round or Series A Offering, it typically goes through a number of informal financing rounds. To that end, companies will turn to founders, friends and even family members. If it’s successful however, the Series A offering of securities will involve a series of steps. This informative CLE course will offer a complete overview of the process including: reviewing and updating... More Info

$55

1.5General Credits

Math as a Powerful Tool in Law: Criminal, Civil, Commercial, Employment and Chapter 11

Surprisingly, statistics and probability are useful tools when handling various legal areas. This is particularly relevant for Title VII actions in which the numbers can reveal whether under-representation by certain minority groups have impacted pay, benefits or employment conditions or whether the differentials are due to chance. This CLE course will explain step-by-step the process of using statistics to make these determinations from defining the populations to taking mathematical... More Info

$29

1General Credit

"Sweat Equity" in Small Businesses and Venture Startups: The Legal and Tax Issues

Issuing shares that are (nearly) tax-free is relatively simple when a small business or start-up first launches. When a shareholder or LLC member receives “sweat equity” or shares in exchange for labor, the tax and legal issues become a bit more complicated. This entertaining, fast-paced CLE course will explain the issues of treating “sweat equity” workers as regular employees as opposed to independent contractors, as well as explain the use of restricted stock, options, warrants and o... More Info

$29

1General Credit

Back to Normal: Handling New Jersey Landlord-Tenant Matters in the Post-Covid Era

Since the COVID-19 pandemic, words such as “moratorium” and “eviction” became fairly commonplace. While many practices experienced extreme upheaval since the pandemic, none seemed affected as much as landlord/tenant practice. This CLE course will explore how to proceed from COVID-era practice to a return to standard practices with a presentation on basic concepts of New Jersey landlord/tenant law. The course will examine modifications made during the pandemic and will offer an overview... More Info

$29

1.25General Credits

Privacy and Cyber Breaches: Are You Next?

It is critical for businesses, regardless of their size, to comply with state, federal and foreign privacy laws and regulations. These will govern a company’s procedures including data collection, storage, use, sharing and disposal with regards to personally identifiable information (PII), personal health information (PHI) and payment card information (PCI). A company that fails to adhere to privacy guidelines, even inadvertently or unknowingly, or to disclose its procedures, are simpl... More Info

$55

1.5General Credits

Metaverse Law: Intro to ARVR, Issues, IP Ownerships, Monetization, Cyber Currency, and Licensing

This CLE course will address the incredible breadth of tech law in the Metaverse, which still remains largely unregulated. The course will offer a review of the basic terminology – using terms everyone can understand – as well as how regulatory and statutory laws may apply to the Metaverse, how it polices itself and how it is monetized. The course will also delve into blockchain and security, intellectual property, cryptocurrency and other related issues with regards to funding... More Info

$55

1.75General Credits

Brokers With a Significant History of Misconduct

Hiring and retaining brokers with a history of misconduct is a risky business. This CLE course will present the new rules concerning brokers with histories of misconduct and will help you understand changes to rule 9200 and 9556. The course will address the heightened supervisory procedures required for statutory disqualified associated persons and will explain the process of submitting the written request requirement to the Membership Application Group (MAG). More Info

$29

1General Credit

Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities

There are many inherent challenges facing firms in monitoring and protecting against fraudulent activity. This CLE course, presented by FINRA staff and industry panelists, will offer examples of the controls that their firms have effectively put into place in order to address the rising AML risks. The course will offer a review of AML and fraud protection red flags, effective practices, monitoring of high risk and/or suspicious activities and the various procedures and controls that ca... More Info

$29

1General Credit

Communications Compliance: Current Developments

Designed to address current communications compliance and marketing practices, this informative CLE course will offer guidance on how FINRA’s communication rules are applicable in virtual environments, particularly regarding ESG and other investment trends. The course will explain the regulatory implications of complex products and services including crypto assets and emerging technologies with regards to marketing compliance. The course will address revisions made to FINRA Rules 2210... More Info

$29

1General Credit

Conflicts of Interest in Capital Markets and Investment Banking

Conflicts of interest in capital markets and investment banking firms are more and more common. This CLE course will offer useful and effective tips and strategies for managing these conflicts from how to raise concerns to how to find remedies when conflicts arise. The course will present methods that firms may use to identify and mitigate risks associated with conflicts of interest as well as apply practical compliance approaches when they arise. The course will offer formal a... More Info

$29

1General Credit

Considerations and Practices for Supervising Independent Contractors

Independent contractors are notoriously difficult to supervise. This CLE course will offer suggestions and examples of effective supervision and compliance methods that firms can implement to improve their supervision. The course will address existing rules and common industry practices and enable you to better understand the challenges inherent in supervising independent contractors. Oversight, cybersecurity policies and procedures will all be presented. More Info

$29

1General Credit

Consolidated Audit Trail

Preparing for compliance with the consolidated audit trail (CAT) requires knowledge and strategy. This CLE course will explain preparation techniques including deadlines, resources and firm obligations. The course will announce key dates in the near future as well as resources available to help with preparation. More Info

$29

1General Credit

Gamification, Mobile Apps and Digital Engagement

This CLE course will offer insights into the increasingly dynamic world of digital engagement practices including broker dealers’ mobile apps, gamification, marketing and online platforms. The course will explain how regulatory and compliance experts are addressing the rising use of data analytics to initiate digital communication. Risks and benefits of digital engagement features as well as how to effectively supervise these features will be presented as will the ways in which the fin... More Info

$29

1General Credit

Market Structure: What Factors Are Driving Changes

This CLE course will present the newest developments and trends in the industry. Presented by FINRA staff and industry practitioners, the course will offer tips and strategies for execution guidance and issues related to payment for order flow. Effective practices for reviewing and documenting execution as well as the technology currently available to process trades will be discussed. More Info

$29

1General Credit

Remote Supervision

Remote work has become the norm in the post-COVID world. This CLE course, presented by FINRA staff and industry panelists, will explain what they have learned as they moved to remote work. Presenters will discuss a wide range of issues including effective controls, processes and procedures being incorporated by member firms to address supervision in remote work environments. The course will enable you to identify these as well as evaluate effective practices that are emerging as a resu... More Info

$29

1General Credit

Vendor Management: Due Diligence and Oversight

Choosing new vendors can be fraught with challenges. This CLE course, presented by FINRA staff and industry practitioners, will review the most important considerations when embarking on this type of decision. The course will address how to find technical solutions that fit your firm as well as best practices for conducting a due diligence review. Contract issue, new software implementation and an in-depth understanding of its limitations will be provided. The course will help you crea... More Info

$29

1General Credit

Alternative Investments and Complex Products

Alternative investments and complex products have changed dramatically over the past few years. This CLE course will explain why it’s important to understand product features, characteristics and particularly their supervisory challenges. The course will explain the latest regulatory developments which are relevant to these complex products and alternative investments as well as the due diligence requirements and industry practices when recommending REIT securities and private placemen... More Info

$29

0.75General Credit

Building a Successful Solo Mergers and Acquisitions Practice

This informative CLE course will present the various tools that all successful merger and acquisition practices should have. The course will review the use of flowcharts and checklists as well as offer practice tips, client management strategies and software recommendations. More Info

$29

1.25General Credits

Issues To Consider When Drafting Construction Contracts

This CLE course will offer insight regarding the issues that attorneys should consider when drafting construction contracts. The course will review: Drafting Mechanics Liens Delay Damages Termination Liquidated vs. Actual Damages Material Escalation Costs Change Orders Insurance Bonds Dispute Resolution More Info

$55

1.5General Credits

Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards

Both large and small companies have been faced with increasing cybersecurity compliance concerns. This informative CLE course will review the standards and requirements revisions published recently, which have broad implications for cybersecurity compliance. These include the Spec. Pub 800-53 (Security and Privacy Controls for Information Systems and Organizations), released by the National Institute of Standards and Technology (NIST), the PCI-DSS 4.0 published by the Payment Card Indu... More Info

$29

1General Credit

Basics of Patents: Are You Protected? Fundamentals of US Patents and Inventorship

Intellectual property comprises an increasing proportion of a company’s value. As a result, protection of intellectual property is of great importance to company owners as well as stockholders. This CLE course will offer a basic overview of patent law and inventor-ship in the US, and explain the ins-and-outs of patent claims, requirements to be identified as an inventor and disclosure issues in a patent claim. The course will also explain how patent claims are used in the marke... More Info

$29

1General Credit

Advanced 1031 Exchange Topics: Reverse and Improvement Transactions

With a specific focus on Rev. Proc. 2000-37 – Reverse Exchanges, this CLE course will look closely at some of the more advanced aspects of 1031 Exchanges. The course will present different types of “parking” transactions including those related to improvement exchanges. Various strategies for consideration as they relate to partnership issues, which is often the result of 1031 Exchanges, will be discussed. More Info

$29

1General Credit

Recent Trademark Decisions Practitioners Should Know About

There have been many fascinating trademark decisions from the Federal Courts as well as the Trademark Trial and Appeal Board. These decisions are required knowledge for trademark practitioners. This CLE course will present these decisions as well as the myriad issues visited from protective orders and color marks to standing, initial interest confusion, territoriality and more. The course will also review a variety of decisions including: Brooklyn Brewery Corp. v. Brooklyn Bre... More Info

$29

1General Credit

Walk Away With The Check: How To Win A Business Divorce Case

A bad business partner can be the downfall of even the most stalwart client. This CLE course will explain the litigation, negotiation and corporate governance expertise required to help your client in a business dispute. The course will cover the 5 corporate provisions that control partner disputes and how to devise a strategic plan to win a business divorce case. The course will also cover issues such as how to time a separation, how to end with the upper hand and valuation me... More Info

$55

2General Credits

A Search for Perfection: Fundamentals of UCC Article 9

The complexity of Article 9 of the UCC’s technical rules for secured transactions can be a challenge. This CLE course will offer a comprehensive overview of the major concepts that attorneys need to know about Article 9. The course offers a practical approach which outlines the fundamental issues from defining secured transactions to potential remedies for default. The course will also review the various perfections of security interests and priority issues and rules. More Info

$29

1.25General Credits

Oh Brave Commercial New World: The New Reality of Name, Image, and Likeness in Collegiate Athletics

This CLE course serves to clear up the misunderstanding surrounding the recently enacted laws that permits college athletes to earn money from the use of their Name, Image & Likeness (NIL) without risking their college eligibility. While there are some restrictions, the response of the NCAA in lifting their rules, even in states where the law wasn’t passed, enabled collegiate athletes, previously barred from endorsements or other earnings, to pursue opportunities much the way professional athl... More Info

$55

1.5General Credits

Corporate Philanthropy: Where to Start and How to Get it Right

Philanthropic initiatives by companies have become almost expected in recent years. Corporate Social Responsibility has made it almost impossible to avoid. But how can a company give back? This CLE course will present the different program options available to companies, taking into account compliance issues, program consistency with a company brand and strategies to avoid legal liability. This CLE course will offer an interactive overview useful for both CSR and corporate foundation m... More Info

$29

1.25General Credits

The Regulation of Private and Foreign Funds in the Age of Cryptocurrency

Cryptocurrency has transformed the way we think about investing. This CLE course will offer a comprehensive overview of the regulatory system as it applies to private and foreign investment funds and how it has been dramatically altered by the rise in cryptocurrency. The course will open with a historical overview of applicable regulation including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act, the Investment Advisers Act, the Dodd-Frank Ac... More Info

$55

1.5General Credits

Trademark Modernization Act: Understanding the USPTO's Final Rulemaking

This CLE course will focus on the ability of USPTO and brand owners to initiate new ex parte reexamination and expungement proceedings. These proceedings, were authorized by the Trademark Modernization Act. The course will explain these proceedings as well as the USPTO’s final rulemaking and the impact it will have on brand owners. The course will cover procedural issues, best practices to brands responding to these proceedings, consideration for those implementing proceedings, changes... More Info

$29

1General Credit

Defining Antitrust Markets in Platform Industries

Designed to update generalists, anti-trust practitioners and inside counsel on the lower courts’ interpretation and application of Ohio v. American Express as it relates to defining antitrust markets involving platforms, this informative CLE course offers a brief but high level overview of antitrust law in the US. Taking into account the impact of the Supreme Court decision in this landmark case and the degree to which platforms have occupied the antitrust spotlight, the course will review the... More Info

$29

1.25General Credits

Introduction to Chapter 11, Subchapter V: An Accessible and Affordable Option for Small Businesses

Between stimulus payments and eviction moratoriums, bankruptcy filings have reached record lows. This assistance, however, provided on a federal and state level in response to COVID-19, will not last forever. When these expire, small businesses looking for a new means of support can turn to Subchapter V of Chapter 11 of the Bankruptcy code, which this informative and timely CLE course will present. The course will offer a step-by-step guide for plan approval as well as commercial lease... More Info

$55

1.75General Credits

A Hundred Little Things: Negotiating Commercial Real Estate Leases, Focusing on Technology, Ethics and COVID Amendments

This advanced CLE course is designed for a variety of lawyers. It will focus on the use of Google sheets and AirTable as well as the ethical issues related to such tools. Using a Prime Time TV sublease to dissect ethical issues, the course will delve into a variety of ways clients might be impacted by COVID with regards to leases and CRE long term, business and restaurant advisors, work from home issues and curbside eating and delivery. More Info

$55

1.5General Credits

Representing the Founders and Initial Investors in a Startup Technology Company

The start-up phase of a technology company requires the assembly of a management team, the development and testing of products and services, marketing strategies and intellectual property research. Most importantly, it is when the initial capital is raised. This entertaining CLE presentation whose fast-pace mirrors the frenetic energy of start-ups will present the most common corporate, securities and tax law issues that are involved when representing start-up founders or early-stage i... More Info

$55

1.5General Credits

International Joint Ventures: Problems, Solutions and Approaches

The legal issues surrounding cross-border joint ventures (JVs) can be somewhat complex. This CLE course will address all the basics such as purpose, management, governance and capital contributions. The course will also cover veto rights, profit distributions, transfer restrictions, minority protections and dispute resolution specifically within the context of international or cross-border ventures which means that cultural and foreign law issues, international taxation, profit repatri... More Info

$55

1.75General Credits

Counsel's Role in Developing & Adopting a Code of Ethics

Almost every organization today has a code of ethics they claim to abide by. But are these codes policies? Legal requirements? Are they enforceable? Are there exceptions? This CLE course will address all of this and more and explain the attorney’s role in developing and implementing the enforcement of these codes. The course will address all of these issues as they relate to the code being upheld by a small group of representatives yet scrutinized by the public at large as well as stak... More Info

$34

1Ethics Credit

Increasing Revenue for Your Clients and Yourself Through Franchising

Looking to increase your revenue through franchising? This CLE course will explain the advantages of franchising and its potential for success in the US. The types of businesses that can be franchised and the process for establishing a franchise system, including registration requirements in various states will be discussed. The Franchise Disclosure Document as well as duties and options as a franchise attorney will be presented. More Info

$29

1.25General Credits

Overview of FinTech Regulation and Compliance

Companies that utilize new technology to automate and improve the delivery of financial services, known as FinTech, face many challenges. This CLE course will explain the core principles and regulatory issues in the US which govern the primary aspect of financial services such as funds, securities, money transition, commodities, anti-money laundering and even basic banking. The course is primarily geared to attorneys, but anyone interested in FinTech has a lot to gain. More Info

$29

1General Credit

How Covid-19 Legislation has Impacted Commercial Landlord-Tenant Litigation

Commercial landlord-tenant litigation has been greatly impacted by COVID-19 legislation, dramatically altering the commercial landlord-tenant practice. This CLE course will explain the key legislation and executive orders which had an impact on the ability of a landlord to collect rent, the tenant’s ability to delay rent payments and the guarantor’s ability to eschew personal responsibility. The course will offer practical considerations and suggestions in light of the new chan... More Info

$55

2.25General Credits

New York’s Brand-New Power of Attorney

Recently new Power of Attorney laws came into effect. In this comprehensive CLE course, Elizabeth Forspan, Esq. of Forspan Klear LLP will explain the primary changes to the POA form and how to plan in accordance with these new changes. The course will review key items to include when preparing new Power of Attorney forms. More Info

$29

1General Credit

For Those Who Dare: Practical Legal Approaches to Funding Start-Up Companies

Start-up companies are exciting when you get in at the beginning, but things can easily get messy. It requires flexibility and vision, lots of time commitment, money and quality legal advice. This CLE course will present the various types and stages of funding for start-ups, from bootstrapping to priced equity round. The course will also address other topics that can help prepare and position start-ups for successful fundraising. More Info

$29

1.25General Credits

Litigating Successfully: Understanding Commercial Division Rules Adopted by the NY Trial Courts and More

The new Uniform Rules of Court for the NY Supreme and County Courts have been adopted with the intent of adding selected Rules of the NYS Commercial Division. This CLE course will identify the new rules as well as explain how these new rules impact their litigation in New York State courts. The course will ensure you are knowledgeable on how these rules apply. More Info

$29

1.25General Credits

Luck Favors the Prepared: Successfully Preparing Your Firm to Address Questions from Clients on Data Security & Privacy

With cybersecurity and data privacy an increasing concern, a comprehensive privacy and security program is essential for any professional organization. Compliance with the various, and many times conflicting requirements of clients and the legal system may further complicate the matter. In fact, clients have begun to view both legal and accounting firms as “vendors” and have no problem issuing their own requirements. This CLE course will explain the fundamentals of a security and privac... More Info

$29

1General Credit

Ten Critical Legal Issues in Consumer Protection

What are the critical issues facing consumer and corporate attorneys in the coming year? This CLE course will explain the typical consumer laws adopted by various states and how they are being interpreted by the courts. The course will present a regulatory overview as well as enforcement actions that both federal and state regulators tend to bring and how an attorney may effectively defend against them. The impact of COVID-19 on these laws will be addressed. More Info

$29

1General Credit

Business Purchase Agreements: Drill Down Deep Into The Three Main Purchase Agreement Types

The purchase or sale of the entirety of business assets, some business assets, or an ownership interest in a business requires three main types of purchase agreements. These include Asset Purchase Agreements, Membership Interest Purchase Agreements and Stock purchase Agreements. This informative CLE course will examine each of these in depth and use specific examples from transactions conducted by the presenter, business law specialist Richard Waxman. The course will utilize the examples... More Info

$55

2.5General Credits

Overview of Parliamentary Law and Procedure

An attorney who serves as a general counsel or a municipal attorney may be required to serve as an organization’s parliamentarian at regular or annual meetings as a requirement defined in their governing documents. This CLE course will explain the basic rules for an attorney serving in this capacity as well as guidelines to follow in accordance with the newly revised 12th Edition of Robert’s Rules of Order or other standard authorities. The course will begin with an introduction and ex... More Info

$55

1.5General Credits

More Than Just Force Majeure: The Legal Aspects of Sports During and After the Covid-19 Pandemic

The sports industry, like most industries around the world, has been severely impacted by the COVID-19 pandemic. This CLE course will address the legal issues of the sports business and how it has been affected as well as the legal, contractual and economic challenges faced by the leagues, unions, teams, and players, particularity in the US. The course will present the different approaches being taken by the various leagues and government entities as well as the force majeure clauses w... More Info

$55

1.5General Credits

Venture Capital Funds: Formation, Terms, Issues Encountered, and Other Practice Tips for Counsel

Venture capital has made it possible for many young companies to grow into major corporations. By providing extensive financial and advisory support, they manage to accomplish these goals while sparing them from the scrutiny and disclosure requirements of the public market. Familiarity with the inner workings of capital funds as well as the various concerns they face such as regulatory issues are critical for attorneys. This CLE course will present an overview of venture capital funds... More Info

$55

1.5General Credits

Understanding Startup Issues: From Formation to Funding

Startups seem to be forming on a daily, maybe even hourly, basis. Which will succeed and which will fail is somewhat dependent on the strength of the idea, but even more so on an entrepreneur’s ability to move the innovation through the initial phases of development and launch. This CLE course will explain this startup process and how to move an idea through the initial concept to a scalable product or service that can compete in the market. The course will explain the types of entities that o... More Info

$55

1.75General Credits

Biometrics in the Workplace

Biometrics, which refers to identification by means of physiological characteristics such as retina and speech recognition, fingerprints and even heart or brain waves, poses a variety of ethical and legal consideration. While employers are attempting to utilize biometrics to identify employees and protect their businesses from its physical premises to its computer systems, many employees have begun to object. This CLE course will explain biometrics and they are used in the workplace as well as... More Info

$29

1.25General Credits

Planning for Business Exits from C Corporations: Intra-Family Business Transactions and Other Developments

The Code Sec. 1202 exclusion for the gain on the sale of stock has gained increased attention from the Lower C corporation income tax rates. This CLE course will explain how this exclusion works, how it impacts a C corporation’s business structure, how it can be applied when a business changes from another entity to a C corporation and how it might compare to exit strategies of other businesses. The course will also explain how to shift to a partnership status from a corporate one after the ta... More Info

$29

1General Credit

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