New Mexico MCLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for New Mexico. Please make your selection below of New Mexico 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.
New Mexico MCLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Accredited CLE Provider in New Mexico. To view our full accreditation details please .
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Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know
Referring clients to financial advisers carries some degree of risk. Attorneys need to be knowledgeable about the regulatory framework that distinguishes financial advisers, particularly given the 2020 disclosure documents (Form CRS). This CLE course will explain the regulation of financial advisers and how standards of care differ. The course will offer strategies for recognizing potential conflicts of interest that may impact the adviser-client relationship as well as how new SEC di... More Info
$291General Credit -
Mortgage Mayhem: What Attorneys Need to Know About Loan Applicant Protections
Purchasing a home is perhaps the most confusing, time consuming, stressful and yet infrequent transaction your clients will face. As a result, most consumers don’t bother to delve too deeply into the nuances, and simply rely on their loan officer to protect their interests. This is a mistake. For a loan officer, home loans are a “zero-sum” game for the loan officer – the loan either closes or it doesn’t. They earn their commission, or they don’t. Loan officers therefore tend to stack as many a... More Info
$291General Credit -
New Jersey Attorney Trust And Business Accounting Fundamentals
The Court Rules and the RPCs, require attorneys practicing in the State of New Jersey to maintain trust and business accounts. This comprehensive CLE course focuses on the various rules and practical ethics of establishing the trust and business accounts. The course will also offer practical tips on maintaining these types of accounts as well as strategies for avoiding the myriad potential pitfalls and errors that many new attorneys encounter. More Info
$291General Credit -
Anti-Money Laundering Compliance: It's Growing, So Make Sure Your Clients are Covered
The Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) legislative regime underwent sweeping changes because of the passage of the Anti-Money Laundering Act of 2020 (“AMLA”). This informative CLE course will examine who is covered and address potential questions and answers to this dynamic set of laws. These include the sections of the AMLA of 2020 that are still being put into force, including the coverage of entities that are not traditionally included, the Beneficia... More Info
$291.2General Credits -
Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies
State Taxation varies across US states. The State and Local Tax (SALT) levels in particular are different for every jurisdiction with their own tax code and tax treatment for different types of applications. For example, the revenue from a particular company is classified in California may vary widely from how it is viewed in Texas. The US Supreme Court, citing the Commerce Clause and various other constitutional considerations, places limitations on a state’s power to tax. One of these rela... More Info
$291General Credit -
Offshore Versus Domestic Asset Protection, What You Need To Know
Presented by a seasoned Asset Protection Attorney, this CLE course will offer an extensive examination of the most prevalent domestic and international tools designed to protect your clients' assets from legal disputes. The course will cover: An Explanation of Asset Protection The Role of Asset Protection in today's increasingly litigious society A historical timeline tracing the evolution of the Asset Protection Industry A review of the most commonly employed strategies for asset... More Info
$291General Credit -
Consumer Chapter 7 & 13 Bankruptcy: What Attorneys Need to Know About Conducting a Consult
Consumer bankruptcy consults are complex and properly informing clients is labor intensive. This CLE course will offer an introduction in conducting a thorough and well-organized consumer bankruptcy consult which will both assist the attorney’s analysis of the case and educate the client about the difference between Chapter 7 and 13 and the benefits of one over the other. The course will offer tips and tools as well as sample visual aids to keep a consult on track, maximizing the information... More Info
$291General Credit -
Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning
The goal of Asset Protection & Estate Planning Program for Business & Investment Clients is to address both legacy and family considerations as well as provide complete asset protection while optimizing tax benefits. This CLE course will provide everything you need to know to design a program that is both easy-to-use and flexible enough to apply even as a portfolio grows. The programs must also be able to hold up under any legal scrutiny and be fully integrated so that assets are not le... More Info
$552General 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
$291General Credit -
Avoiding Liability Under The FDCPA
The purpose of this CLE program is to provide attorneys with an overview of the essential aspects of compliance with respect to a third-party debt collector's use of telephone and written communication for debt collection. In recent times, the debt collection industry has experienced heightened regulatory scrutiny and increased enforcement actions by the Consumer Financial Protection Bureau (CFPB). Additionally, there has been renewed interest from the Federal Trade Commission (FTC) and... More Info
$552General Credits -
Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators
This CLE course will examine the new, and fairly extensive, list of revisions to the regulatory capital requirements for both large and midsize banking organizations which were jointly proposed by US federal banking regulators. The revisions, which are quite lengthy, would seriously alter the requirements for market, credit, and operational risk, and while many of these revisions have long been anticipated, such as the re-evaluation of use of internal models, others are quite novel, such as th... More Info
$551.5General Credits -
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
$551.5General Credits -
The Case Against Tipper X
On what he thought was a typical workday in New York City, Tom Hardin woke up, went to the gym and ran a few errands on the way to the office. And on his way, two FBI agents suddenly appeared, publicly flashed their badges and began questioning him about his job. Tom was shocked and confused and began to worry when the agents began sharing details about his personal life and his family, even where he was last weekend. It was that event that began the process of Tom Hardin going from he... More Info
$551.5General Credits -
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
$291General Credit -
Was the Pandemic a Short or Long Term Bankruptcy Sickness
Designed to offer a general overview of bankruptcy law, this CLE course will include a general description of the history of bankruptcy law as well as a description of the various chapters of bankruptcy, their function and how they differ. The course will address recent, significant amendments to the Bankruptcy Code, and explain how and when to complete a Chapter 13 form plan. A brief description of bankruptcy filing statistics and secondary sources for legal research will be presented... More Info
$552General Credits -
You Won! Now What? Collecting Civil Judgments Under Illinois Law
Even if you successfully prosecute a civil case to judgement, clients aren’t typically satisfied unless they receive money at the end of a case. This is particularly important for attorneys who work on the basis of contingent fees. In cases where a judgement debtor does not have insurance, or when the judgment exceeds its limits, it’s critical to understand collection law to ensure that everyone, including you, is paid in the end. This CLE course will present the basics of a collection... More Info
$291General 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
$551.5General Credits -
Ask FINRA Senior Staff
In this CLE program, senior staff members from FINRA deliver informative updates on crucial regulatory matters. The panelists engage with the audience, addressing inquiries concerning FINRA's risk-based examination program, disciplinary actions, market regulation initiatives, as well as new and forthcoming rules. Attendees can expect to gain valuable insights into these areas and obtain a comprehensive understanding of the current regulatory landscape. More Info
$291General Credit -
Compliance and Legal Trends
This CLE program will delve into the emerging trends, pivotal focus areas, and strategic initiatives that are currently shaping the landscape. Gain valuable insights from the panelists as they analyze the impact of these transformative changes on compliance practices. Discover how organizations are adapting, evolving, and effectively responding to the interplay of business dynamics, regulatory developments, and technology advancements. This engaging discussion offers a unique opportuni... More Info
$291General Credit -
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
$552General Credits -
Capital Formation: Current Regulatory Landscape and Challenges
Join us for an informative session where you can expand your knowledge on the regulatory landscape, potential challenges, and available resources for firms in the context of capital formation. In this CLE program, we will cover the following topics: Exploring the current regulatory landscape Examining challenges and obstacles from a firm's perspective Discovering valuable resources for firms Don't miss out on this opportunity to gain valuable insights and stay updated on the latest... More Info
$291General Credit -
Current Issues Under Regulation Best Interest and Form CRS
A dynamic forum brings together regulators and industry practitioners, fostering discussions that encompass a wide range of current topics and valuable lessons derived from experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). These exchanges of insights delve into various perspectives, exploring firm effective practices and examination experiences to gain a comprehensive understanding of these regulatory frameworks. Within this forum, regulato... More Info
$291General Credit -
Hot Topics in Municipal Securities and Other Fixed Income
During this CLE program, a wide range of essential aspects pertaining to fixed income securities will be covered. This includes examination priorities, common findings, and enforcement actions, as well as rulemaking specific to the fixed-income market. An update on SEC Rule 15c2-11 will also be provided. The session will address the following topics: Review of recent enforcement actions concerning municipal securities, such as 529 Plans and municipal short positions. Additionally, it... More Info
$291General Credit -
Leveraging Regulatory Technology for Your Firm
In this CLE, the panelists delve into the impact of RegTech on the securities industry, examining the associated benefits, risks, and regulatory factors. They explore a range of RegTech tools that can enhance compliance efforts, including the innovative Machine Readable Rulebook introduced by FINRA. The session highlights the role of artificial intelligence and cloud computing in these tools. Key topics covered include: Considerations for utilizing RegTech tools, particularly those in... More Info
$291General Credit -
Market Regulation and Transparency Services Priorities: What You Need to Know
Join us for an engaging session where FINRA staff will provide comprehensive insights into the latest updates on market regulation and transparency priorities concerning equities, options, and fixed income compliance programs. During this session, our esteemed panelists will discuss the following key topics: Updates on market regulation and transparency priorities, encompassing ongoing initiatives and rulemaking efforts. In-depth thoughts and perspectives from FINRA panelists on equi... More Info
$291General Credit -
Market Structure: Current Developments and Future Trends
In this CLE program, panelists will engage in a discussion about the latest advancements in market structure. They will cover topics such as order handling, order routing, execution quality disclosure, and other relevant developments pertaining to fixed income and equity securities. The session will focus on the following points: Exploring ongoing developments and emerging trends in the industry, such as best execution guidance, concerns related to payment for order flow, and the impa... More Info
$291General Credit -
Redefining Communications Compliance for the Digital Age
Join us in exploring how firms are tackling the compliance challenges and leveraging the opportunities presented by the growing reliance on mobile apps, social media, and other digital channels for communication. In this enlightening session, industry experts and representatives from FINRA will provide valuable insights on navigating the intricate landscape of firm communications with the public. The panelists will delve into a range of important topics, including lessons learned from F... More Info
$291General Credit -
The Evolution of Branch Office Inspections
Join our panel discussion as we explore valuable insights gained from the shift towards remote branch inspections. Our esteemed speakers will delve into topics such as effective tools and documentation strategies, alternative vendors, key indicators to watch out for ("red flags"), as well as the latest developments in FINRA inspections and other regulatory advancements. More Info
$291General Credit -
The Firm Perspective on Monitoring and Protecting Against Financial Crimes
Don't miss this session covering financial crimes from a firms' perspective. This CLE session will cover a wide range of tactics, red flags, and mitigation strategies associated with fraud, insider trading, cybersecurity, and money laundering. Key topics include: Effective practices and controls for firms to monitor, protect against, and address AML, cybersecurity, and fraudulent activities. Tips to identify potential red flags for fraud and insider trading, along with guidance on re... More Info
$291General Credit -
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
$551.5General Credits -
Current Trends and Threats in Financial Crimes
During this CLE session, Deputy Director Abbate and Under Secretary Nelson engage in a comprehensive dialogue on the most recent advancements in financial crimes and the risks associated with illicit finance. The discussion encompasses novel and emerging threats concerning money laundering, fraud, securities fraud, cybercrime, digital assets, and sanctions. More Info
$291General Credit -
Financial Responsibility Rules and Relevant Touchpoints
Join us for an enlightening CLE course where our esteemed panelists will explore a range of topics related to SEC and FINRA financial responsibility rules. The discussion will encompass the regulatory obligations imposed on introducing, intermediary, carrying, and clearing firms as outlined in FINRA Rule 4311 and SEA Rule 17a-4. In addition, the panel will delve into other subjects such as liquidity management and the intricacies of fully-paid lending. More Info
$291General Credit -
Private Placements: The Latest Regulatory Developments and Compliance Considerations
This CLE program will explore the latest private placement regulatory advancements, with a particular focus on regulatory notice 23-XX. Gain valuable insights into compliance responsibilities and best practices concerning Reg BI, sales materials, due diligence, conflicts of interest, and other pertinent topics. This session will cover the following areas: In-depth analysis of recent regulatory developments, compliance obligations, and effective practices pertaining to private placem... More Info
$291General 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
$291General 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
$551.5General 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
$551.5General Credits -
Following the Money: A Primer on Fraudulent Transfer Litigation for the Uninitiated
Debt collection can be simple and straightforward, or difficult and even dirty when a debtor decides to make things complicated. Debtors facing lawsuits may attempt to shield themselves by giving assets to family or friends, leaving nothing for a creditor to take. This CLE course will offer tactics for combating what’s considered fraudulent transfers by the Uniform Fraudulent Transfer Act (UFTA) and the avoidance actions that can be taken. More Info
$291General Credit -
Offshore Asset Protection: Exploring the Various Jurisdictions for Protecting your Clients' Assets
The US is considered one of the world’s most litigious societies. But charging others and being charged are two entirely separate matters. This CLE course will help attorneys better advise their clients in how to survive a lawsuit by utilizing offshore asset protection to shield assets from frivolous claims. The course will address how to use various locations such as the Cook Islands, Saint Kitts and Nevis, Belize, and Switzerland, the different types of protections, and their purpose... More Info
$291General Credit -
Form CRS: Practical Considerations for Attorneys
A CRS is a new, 2-4 page disclosure document that SEC-regulated firms are required to deliver to their clients. Adopted to help investors understand the various standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as potential conflicts of interest which may be intrinsic to a firm’s business practices. It is therefore essential for attorneys who need to refer clients to a financial professional or firm to be aware... More Info
$291General Credit -
Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws
With the fall of FTX and the dream of cryptocurrency, the intersection between it and federal and security commodities becomes both fascinating and highly relevant. And as per the title of this session, has taken on Biblical proportions (see Samuel 2, 1:19). This riveting CLE course will present the allegations by the U.S. Department of Justice, the Securities and Exchange Commission and the Commodities Future Trading Commission against Samuel Bankman-Fried, former CEO of FTX, and wil... More Info
$291General Credit -
Rules and Principles of The Division of Real Estate Between Married and Unmarried Partners
Divorce is difficult – both emotionally and financially. Separating lives that were once united is complicated from every respect and the division of assets is one of the most combative issues couples face. This CLE course will focus on the division of real estate and the importance of prenuptial and mid-marriage agreements in protecting a spouse’s interest in a property, particularly when a down payment was provided by a family member. The course will explain the various pitfa... More Info
$291General Credit -
The Highs and Lows of Cannabis Land Use Regulations
Weed is now legal in 21 states, with more than 155 million Americans able to legally possess marijuana. However, it remains classified as a Schedule I drug on the Controlled Substances Act, which is the same category as heroin, meaning it can disqualify someone from entering the U.S. military or for applying for a security clearance. Even those cannabis businesses operating in state-legal markets struggle to fund their start-up costs because they are restricted from opening bank accounts or ge... More Info
$291.2General 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
$551.7General 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
$291General 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
$291General Credit -
Advertising Compliance Bootcamp: Select Topics
This CLE course will address the issues of content violations, disclosure and performance standards of SEC Rules. The course will also explain the current standards for variable insurance product communications, and offer expert guidance as they relate to options communications, rankings presentations, and the fundamental concepts of digital communications such as social media. The course will ensure you understand how to comply with FINRA Rule 2210’s content standards and can apply th... More Info
$291General Credit -
Advertising Compliance: Fundamentals of FINRA Rule 2210
Whether you are new to FINRA’s advertising rules or an experienced practitioner looking for a refresher course, this informative CLE course, presented by a panel of FINRA professionals, offers a comprehensive overview of FINRA’s Communications With the Public rule. The course will include filing requirements, content standards, internal approval and supervision. Course panelists answer questions about the rules that apply to financial services communications and marketing materials and... More Info
$291General 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
$551.5General 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
$291General Credit -
Fintech Firms: Communications Compliance Topics
This CLE course presents the insights of FINRA staff and industry panelists on the challenges and effective practices of communications compliance for Fintech-focused firms. The course will cover topics such as mobile applications, integrated product offerings, digital engagement practices, and crypto assets. Panelists will offer tips and answer questions on the use of technology and how it can help navigate this dynamic area. More Info
$291General 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
$291General 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
$551.5General Credits -
The Secure ACT: Five Key Considerations
This CLE course will explain the SECURE Act (Setting Every Community Up For Retirement Enhancement) and its impact on the nation’s retirement system. The course will address the five main focus areas of the SECURE Act and how, as an attorney, the law may affect your financial plan. The course will cover topics such as the new age requirements for RMD’s and age limitations on traditional IRA’s, distribution options for beneficiaries, flexibility and options with regards to 529 p... More Info
$291General 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
$551.5General Credits -
Legal Issues in Divorce Cases: Equitable Distribution, Spousal Maintenance and Child Support
New York has utilized New Jersey’s equitable distribution law as the basis for their laws instituting and applying equitable distribution in all divorces. This CLE course will address the current applicable statutory as well as recent case law on the topic and offer strategies to best argue for your client’s financial situation. The course will discuss child support and spousal maintenance taking into account current statutes and guidelines and recent applicable cases. The cour... More Info
$291.2General Credits -
"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
$291General Credit -
Cryptomorphing The Legal Profession: Musings From A Stacker In The Rye
Blockchain technology and cryptocurrency is a complicated area with a far-reaching impact on the legal profession. This CLE course will explore topics from the acceptance of cryptocurrency as payment for legal services to cryptocurrency and blockchain technology’s impact on payment systems’ security transactions, public record filing and smart contracts. The goal of the course is to motivate participants to learn more about this dynamic and exciting area of study. More Info
$551.5General Credits -
Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings
Cryptocurrencies and blockchain technology are sources of tremendous confusion, particularly given the recent market upheavals and drastic swings in their value. Whether cryptocurrency and blockchain technology are a fading fad or the beginning of a new direction in currency has yet to be determined, yet legal analysis may have a decided impact on the verdict. This CLE course will address the legal challenges and their impact on the industry as well as several key issues which... More Info
$291.1General Credits -
What You and Your Clients Need to Know About the USPTO’s Post-Registration Audit
Deadwood refers to registration for marks that are not in use in commerce. Over the past few years, removing this deadwood from the Trademark Register has become an important priority for the USPTO. In recent years they instituted a permanent post-registration audit program requiring trademark registration filing a Declaration of Use to submit proof of use for two additional items in each class beyond the product for which a specimen was submitted. This CLE course will explain the post... More Info
$291General Credit -
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
$551.5General 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
$551.6General Credits -
The Uses of an Economist to Prove and Rebut Proof of Economic Damages in a Personal Injury Case or Wrongful Death Case
This practice-oriented CLE course, designed especially for attorneys litigating death and/or personal injury cases, offers practical information on the retention of an economist. The course is applicable regardless of jurisdiction or whether an attorney is for the defendant or plaintiff, and will address finding and retaining economists, the information, factual or otherwise, that an economist will require, work product and direct examination. Comprehensive in scope, the course will pr... More Info
$552General 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
$291General 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
$291General 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
$291General 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
$291General 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
$291General 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
$291General 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
$291General Credit -
Hot Topics in Municipal Securities and Other Fixed Income
There have been a variety of recent enforcement actions related to municipal securities (e.g. 529 Plans, municipal short positions), fixed-income related rulemaking, examination priorities and other typical problems that are revealed during Member Supervision and Market Regulations reviews. This CLE course, presented by FINRA and MSRB staff, will explain recent enforcement actions on muni shorts and 529’s as well as address a variety of topics related to municipal securities and recent... More Info
$291General 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
$291General 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
$291General Credit -
Restricted Firm Obligations: What You Need to Know
Rule 4111 (Restricted Firm Obligations) went into effect recently, and creates new obligations and criteria for identification. This CLE course features FINRA staff as they present the new obligations under Rule 4111 as well as identify controls, processes and procedures that member firms have begun to implement to address the new obligations under the rule. The course will review the various identification metrics thresholds and explain restricted deposit accounts. More Info
$291General 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
$291General Credit -
Hot Topics in FinTech
FinTech (Financial Technology) is a dynamic, growing industry that seems to have been on fast-forward in recent years. This CLE course, presented by FINRA staff and industry practitioners, will explain how FinTech is defined by various stakeholders in the industry as well as new, innovative ways that firms are integrating FinTech into their business models. The course will address the critical importance of implementing a firm compliance structure in order to address regulatory obligat... More Info
$291General Credit -
Senior and At-Risk Investors
Seniors and Vulnerable Adults often fall under the wire. This CLE course will explain how FINRA rules and state requirements address this population, enabling firms to better address this increasingly growing client base and protect your organization. Presented by FINRA staff and industry experts, the course will review FINRA Rules 2165 and 4512 and address elder abuse prevention and protection acts. The course will also review State Report and hold laws. More Info
$291General Credit -
Social Media and the Rise of the Finfluencers
COVID-19 has dramatically altered the way we behave, some think for good. These changes impact all industries, including the financial services industry, where the rapid increase in digital adoption has changes the way we engage with one another and with our clients. This CLE course, presented by FINRA staff and industry analysts, will explain how social media and its influencers are changing the industry. The course will discuss the newest developments, effective compliance pr... More Info
$291General 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
$291.2General Credits -
An Introduction to Chapter 7 Bankruptcy Basics
This CLE course will provide an introductory overview of Chapter 7 Bankruptcy. The course will offer a comprehensive review of the basics of preparing a petition, the client intake and evaluation process, the importance of asset investigation and the various pitfalls to watch out for. Common issues that arise both before and during the process will also be discussed. More Info
$291General Credit -
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
$291.1General Credits -
Transit Oriented Development: An Exciting Pillar of Urban Development
Infrastructure is critical to the success of urban development. Transit-oriented development takes this into account by developing a building or area around public transit infrastructure such as a Metro train station. When applied to suburban development, it includes a vast amount of coordination of land use including community outreach, walkable neighborhoods, economic development, suburban renewal and transportation planning. This CLE course will explain the forces driving vibrant, l... More Info
$551.5General Credits -
Reverse Mortgages: Stay In Your House For The Rest Of Your Life? Not So Fast!
Reverse mortgage holders often file foreclosure actions without any basis for doing so. This CLE course will present a detailed overview of the determinations, which are at times very problematic, of reverse mortgage servicers of non-occupancy by borrowers. The course will also offer guidance to attorneys who need to litigate these actions on their clients’ behalf. Valuable insight into the effective handling of the entire process of such cases will be reviewed. More Info
$291.2General Credits -
Recent Important Civil Cases of The Virginia Supreme Court For All Civil Litigators
Covering a broad range of topics and legal areas, this course will present 44 written summaries of recent opinions by the Virginia Supreme Court. The cases cover a wide scope including wrongful death, torts, civil rights to contracts, economic loss rule, family law, civil procedure, causes of action, evidence, affirmative defense including immunity and resjudicata/collateral estoppel. The summaries include alerts that attorneys should take into consideration from the various issues rai... More Info
$552General Credits -
Bitcoin: Time For Lawyers To Take A Byte
With the emergence of blockchain technology, the Internet of Value has replaced the Internet of Information and the Internet of Things. It has thoroughly transformed our economic system with cryptocurrency being the hottest topic in financial news. The ethical issues involved however, have barely been discussed. This CLE course will address the opportunities as well as the risks for lawyers in the cryptocurrency and blockchain space. The course will offer an overview as well as... More Info
$291.1General Credits -
Unfair, Deceptive, or Abusive Acts or Practices: “I’ll Know It When I See It…”
One of the most important regulations in the mortgage industry, UDAAP or Unfair, Deceptive, or Abusive Acts or Practices impacts every other lending regulation including marketing, fair lending, licensing and communication). It also impacts every aspect of the lending cycle. The regulation, however, is fairly subjective and difficult to defend against. This CLE course will explain how the regulation operates in practice and provide critical knowledge for lending and real estate lawyers... More Info
$291.1General Credits -
Ideas to Cash: Guiding Creative Clients In Monetizing Their Inventions and Other Creations
An idea can be difficult to express, much less to protect. The law offers various types of protections as well as a series of procedures to implement those protections including patents, trademarks, copyrights and trade secrets. This CLE course will review the different types of protections as well as how to monetize the methods. Samples of different methods and techniques for approaching targets will be presented so you can turn your clients’ ideas into profit. More Info
$551.8General Credits -
Asset Protection for Cryptocurrency
In an increasingly litigious society, asset protection is more important than ever and cryptocurrency is therefore having its heyday. Simultaneously, it is the targeted asset in more and more lawsuits with Blockchain technology making it increasingly easier to see the amount of cryptocurrency an individual owns. This CLE course will offer strategies for protecting cryptocurrency assets in a lawsuit. More Info
$291General Credit -
Setting Up Your Securities Clients For Success
Legal counsel will typically evaluate Exempt Offering Documents on legal grounds, ignoring the option of considering how offerings can be best articulated from the underwriting perspective. This CLE course will offer tips on how to approach securities documentation from the standpoint of underwriting standards which have the benefit of consistency and efficacy in offering documentation. The purpose of the course is to help legal counsel offer informed, risk-adjusted investment decision... More Info
$552General 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
$291.1General Credits -
GRAT and Valuation Planning After CCA 202152018: What Practitioners Need to Know
The CCA 202152018, released at the end of 2021, addresses the valuation challenge regarding the consideration that should be given to a potential sale when valuing an asset. Its impact on grantor retained annuity trusts (GRATs) and how an appraiser valuates the implications of a potential sale from no sale, conversations with buyers, letters of intent, binding contracts and so forth across the continuum. The recent changes place a possible sale fairly close to an actual sale in the pro... More Info
$291.3General 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
$291.1General 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
$551.5General Credits -
What Every Family Law Attorney Needs To Know About Debt Collection And Bankruptcy
Family law includes a variety of different factors, including the multitude of issues families face when a single household splits into two. Whether with regards to debt, bankruptcy or the specific solvency of different family members, these issues are required knowledge for Family Law practitioners. This CLE course will review each of these potential problems to enable attorneys to advise their clients in making informed decisions. More Info
$551.5General Credits -
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
$291.1General Credits -
Understanding Asset Protection
Learn how to protect yourself from the effects of lawsuits through personal asset protection. This CLE course will offer an in-depth guide for protecting your personal wealth including a basic history, exemption status under federal and state law, risk analysis and definitions. The course will also delve into protections for different types of assets such as physical and real asset, liquid, domestic, offshore and others. Protection tools such as Limited Liability Companies, Family Limi... More Info
$551.5General Credits -
How The New Proposed Tax Bill Can Impact Your Retirement Account
The recent tax proposal released by the House Ways & Means Committee has a huge impact on retirement accounts. This informative CLE course will provide details to key provisions of the proposal including the $10m retirement account cap, the elimination of Backdoor Roth IRA and of Mega Backdoor Roth IRA’s. Other provisions to be discussed include: Asset holding prohibitions Investment using IRA’s in entities for which you are an owner Statute of limitations extensions And more More Info
$291.1General Credits -
Business Interruption Coverage Post-Covid: Property and Business Interruption Claims and Forensic Accounting
Income losses from COVID-19 are a continued problem in industries throughout the US. Many, whether private organizations or public entities, have employed their Business Interruption insurance policy to offset the loss. This CLE course will present the current state of insurance claims for such interruptions and explain how to prepare, present and support a lost income claim. The course, presented by experienced professionals in the field of business interruption insurance, wil... More Info
$291General Credit -
Can We Get Back to Business? The FDCPA and The Post-Covid World
As businesses begin to open their doors after the COVID shutdown, cash-flow, collections and receivables are once again at the forefront of people’s minds. How should business address receivables in consumer transactions? How did COVID impact the collection of receivables and what does the Fair Debt Collections Practices Act (FCPA) require? Is there a difference between commercial and consumer collections? This CLE course will review the FDCPA, explain the new rulings and case... More Info
$291.1General Credits -
Transfer Pricing for Multinationals: Practical Insights for Attorneys
Amongst the many challenging tax issues facing multinational companies today, transfer pricing is by far the most contentious and the most expensive. Faced with the competing requirements of the IRS and international tax authorities, many companies are struggling to navigate the issue. This informative CLE course will explain how attorneys can practically and properly identify and assess client global transfer pricing issues. The course will review the requirements of Section 6662 docu... More Info
$291.4General Credits -
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
$291.3General 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
$291General Credit -
Litigation Support Services Performed by Forensic Accountants
Complex accounting, valuation and other business issues can stymie even the most competent lawyers, judges and juries. Forensic accountants provide valuable services in these instances. Whether it is interpretive analysis, investigations or damages analysis, these accountants are the specialists. This CLE course will explain the many types of litigation support services, the impact of forensic accountants on all stages of the litigation process and case study support for the benefit of... More Info
$291General Credit -
Gambling: The "Secret" Addiction
Alcoholism, drug addiction and mental health disorders are on the rise, leading to an increase in impairment in the legal profession. According to the statistics, 1 in 3 attorneys will need mental health services at some point in their careers. Yet there are other addictions, such as gambling, which is lesser known but can be just as damaging. The US Supreme Court Case of Murphy vs. NCAA upheld the legality of gambling across the country and in almost no time, Pennsylvania had on-line... More Info
$291.1General Credits -
Enforcement Developments
This CLE course will explain recent updates and developments in enforcement. The course will focus on enforcement priorities and how an issue might find its way to enforcement and the process it undergoes including regulatory and compliance practices. The course will also present important decisions and settlements that offer insight into the process and illustrate the priorities of FINRA. More Info
$291General Credit -
Regulation Best Interest and Form CRS: Recent Observations and What to Expect
This CLE course will explain the new Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules and the requirements of compliance. The course will explain how firms are complying with these rules, the examination process, tips, strategies and helpful resources to help with current and future compliance issues. The course will present some of the challenges firms may face in reconciling Reg Bi and Form CRS delivery as well as best practices for supervisi... More Info
$291General Credit -
FINRA’s Examination and Risk Monitoring Program
A firm grouping structure and the process of implementing it are fraught with issues. This CLE course will explain the lessons learned during this process and what firms can expect in the future. The course will explain how to understand new organizational structures in the exam, specialist and risk monitoring programs and review risk monitoring activities. The course will present what expectations you should have form the exam program and planning process and provide informati... More Info
$291General Credit -
Fraud Detection and Prevention
Even fraud has fashion trends. This CLE course will present recent or noteworthy fraud cases and how these trends impact the financial services industry. The course will focus on frauds that impact the brokerage industry, offer strategies for identifying problematic situations and explain the procedures to follow when fraud is suspected. The course will ensure you understand emerging trends, particularly in the pandemic environment, explain how to identify elder abuse and how to protec... More Info
$291General Credit -
Gamification, Social Media, and Digital Communications Perspectives
Gamification and social media have the potential to capture investors’ attention and influence their behavior. This CLE course will explain FINRA’s view on the dynamic world of digital communications as well as the risks and benefits of gamification features on broker-dealers’ apps and websites. The course will consider the impact on notifications and alerts, digital marketing and the impact of social media, particularly during the pandemic and beyond. The course will explain h... More Info
$291General Credit -
Market Regulation Priorities
Current regulations and new rules have shifted market regulation priorities. This CLE course will offer an update on recent initiatives and rules and how they impact the priorities of today. The course will be presented by FINRA panelists who will offer insights on equities, options and fixed income compliance programs. The course will also review FINRA’s Market Regulation Examination priorities and summarize recent disciplinary actions as they relate to fixed income, equities and opti... More Info
$291General Credit -
Remote Supervision: Compliance Challenges in a Remote Working World
Day-to-day operations in firms all over the world were severely disrupted by the COVID-19 pandemic. With the majority of staff working remotely, supervisory practices were completely overhauled. The CLE course, presented by FINRA staff and industry specialists, will present the many challenges firms face with remote work and how we can all learn from these experiences to improve our Business Continuity Plans (BCP’s). More Info
$291General Credit -
An Introduction to Private Investment Funds
There are many legal and practical considerations to account for when establishing a private equity, real estate or hedge fund. This CLE course will offer a comprehensive review of the Investment Company Acts of 1940 (the “40 Act”) relevant sections as well as those of the Investment Advisers Act of 1940 (the “Advisers Act”), including the rules and commonly used exceptions to registration under these acts. The course will also undertake a review of relevant provisions of the Securiti... More Info
$291.2General Credits -
Financial Planning for Lawyers
Financial planning is about more than just retirement. This CLE course will address a variety of financial planning issues such as student loan debt, taxes, financial aid eligibility, and salary disbursement. The course will discuss the interrelationships between these factors and how to create annual budgets that account for them. Tax reduction strategies, family planning, loan repayment, planning for aging parents and estate planning will all be presented. More Info
$291.1General Credits -
Cryptocurrency, How to Find and Track it in Divorce Litigation
Cryptocurrency is changing the financial landscape in many ways. One of those is the issue of hiding assets from divorce court. Cryptocurrency such as Bitcoin can be purchased with cash, held electronically without any third party interference and transferred anonymously. This CLE course will offer attorneys a general understanding of cryptocurrency and how it operates. The course will explain how it is held by an owner and offer strategies for gathering information on a spouse’s tran... More Info
$291.1General Credits -
Cryptocurrency Primer: What They Are, How They Work, Their History, and Their Future
Cryptocurrency is a complex area at the intersection of finance and law. This CLE course will explain cryptocurrency and its history as well as specific types such as Bitcoin and the origins of the various types. The course will explain digital tokens, governmental classifications and a look into the future of cryptocurrency. Issues of legality, constitutionality, and relationship to the gold standard and other valuations will all be discussed. More Info
$291.2General 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
$291.4General Credits -
Purchase Or Sale Of A Business, Or Part Of A Business: Documents Boot Camp
The purchase or sale of businesses or ownership interest in a business require a tremendous number of documents. The primary ones include Asset Purchase Agreements, Stock Purchase Agreements and Membership Interest Purchase Agreements. This CLE course will explain and provide samples of all of these documents and others and explain when they should be implemented. Other documents to be explained include: Letters of Intent, Non-Disclosure Agreements, Authorizing Resolutions, Lien Search... More Info
$552.6General Credits -
The Basics of Blockchain and Cryptocurrency in Estate Planning
The Bitcoin network came into existence in 2009 and since then, internet currencies have made incredible strides. Their credibility is such that cryptocurrencies are accepted as secure forms of payment, they can be digitally stored and do not require a bank or middleman. This CLE course will present the fundamentals of cryptocurrency and how they may be a factor in your estate planning. More Info
$291General Credit -
The Impact of COVID-19 on Mortgages and Foreclosures in New York State
The housing security of millions of Americans is being threatened by the shock of COVID-19. Federal, state and local judiciaries are moving quickly to prevent foreclosures and the ways in which a borrower’s home in New York State can be preserved. This CLE course will explain how the pandemic has affected mortgages and foreclosures. The course will review federal foreclosure moratoriums and forbearance of mortgage payments under the Coronavirus Aid, Relief and Economic Security Act (CA... More Info
$291.1General Credits -
SPAC IPOs: Hotter Than Ever and How They Work With Forms
A Special Purpose Acquisition (SPAC) requires special consideration. This CLE course will explain how to formulate, file and implement a public offering for an SPAC. Insights, strategies and examples will be used to illustrate the SPAC process. Presented by nationally-recognized and widely published attorney Dan Brecher, who has appeared on CNN, CNBC and countless others, the course will apply to attorneys who represent any type of business entity. More Info
$551.6General Credits -
Collections in the Age of Covid
COVID-19 has wreaked havoc on every industry, from the largest corporation to the smallest mom and pop shop. Unemployment is rampant and many people as struggling to stay afloat. Given the widespread loss of income, how can one be expected to repay loans taken before the crisis hit? And how to anticipate when payments could reasonably be made? This CLE course will explain the issue of outstanding receivables and the difference between commercial and consumer collections as they relate t... More Info
$551.5General Credits -
Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)
On-the-record interviews (OTR’s) are a key technique for Financial Industry Regulatory Authority investigations. This CLE course will explain FINRA’s OTR methodologies and how to best prepare to represent witnesses during these types of proceedings. The course will explain the overall goals of FINRA as well as provide goals for witnesses as well as strategies for what they should avoid. More Info
$291.1General Credits -
Fiduciary Duty For Lawyers In The Capital Markets
Professional standards for lawyers and others working in the Capital Markets and Financial Service Industry may differ from other areas of business. This CLE course will provide an overview of subjects such as legal opinions, representation of organizations and constituents with adverse interests and when to advise the Board of unethical or unlawful conduct. The course will explain the overriding concept of fiduciary duty, as well as the role of lawyers in advising client organizations to ensu... More Info
$341.3Ethics Credits
