Florida CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Florida. Please make your selection below of Florida 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.
Florida CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Florida Bar Accredited CLE Sponsor (CLE Sponsor # 0185716). To view our full accreditation details please .
-
Essentials of Corporations, Partnerships and LLC's
Presented by business lawyers Eli Greenberg and Mark Silverstein, this CLE course will offer an overview of the four principle business entities - Corporations, General Partnerships, Limited Liability Companies, and Limited Partnerships. The course will explain the ins and outs of organizing, managing and financing such entities as well as how to deal with mergers & acquisitions and option plans. Fiduciary duties and indemnification of management will also be discussed. More Info
$551.5General CreditsSelf-Report -
Current Issues in Securities Regulation: Part 1
A deep dive into issues related to FINRA, this CLE course will explain the rules governing alternative investments, REITS and private placements as well as possible suitability risks. Due diligence and industry practices for recommending specific securities, particularly to seniors and those with diminished capacity, will be reviewed. Issues related to deficiencies during the FINRA cycle, facing compliance professionals, taking corrective action, particularly as a result of a cautionary letter a... More Info
$2127.5General CreditsSelf-Report -
Current Issues in Securities Regulation: Part 2
A thorough examination of FINRA and the related issues of regulation, eligibility requirements, risk, compliance and enforcement, this CLE course will explain the new Enforcement department and how functions across FINRA will be explained. The course will explain the structure of the new department, its priorities and how its outcomes are guided as well as preparing for inspections, minimizing risk, monitoring suspicious activity and identifying AML procedures will all be presented. Included as... More Info
$2127.5General CreditsSelf-Report -
Collateralized Debt Obligations and Credit Default Swaps: A Guide for Lawyers
What are Collateralized Debt Obligations (CDOs) and Credit Default Swaps (CDS)? How did they come to play, and continue to play, such prominent roles in the global economy? Ever wanted to know the difference between a CDO and a CLO? What are TruPs CDOs? And why are they so controversial as to remain in news headlines today? Get a real understanding of CDOs and CDSs, how they are structured and the litigation landscape regarding these investments today. This CLE course, presented by... More Info
$813General CreditsSelf-Report -
What Attorneys Need to Know About Capital Markets and Ratings
Ratings play a critical role in today's capital markets and the global economy. While lawyers come across ratings every day, they may not know what a rating actually means. Many do not understand the role that ratings played in the Credit Crisis. This informative CLE course presented by Jack Chen, a New York attorney and ratings expert, explains everything a lawyer should know about ratings and rating agencies. The course examines the regulatory framework and explains who uses ratings... More Info
$551.5General CreditsSelf-Report -
Introduction to Structured Finance
An alphabet soup made up of RMBS, CMBS, CDOs, SIVs have been in the press for the last few years and while they perform an integral part of the capital markets, few know what they are. Some commentators and regulators have alleged that these sophisticated financial instruments were responsible for the Credit Crisis that nearly destroyed the global economy. What are these structured products, how do they work and who created them? New York attorney and subject matter expert Jack Chen... More Info
$551.5General CreditsSelf-Report
