Rhode Island MCLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Rhode Island. Please make your selection below of Rhode Island CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
Rhode Island MCLE
Accreditation Info
United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .
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On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
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
$291General Credit -
On-DemandOnline & iOS/Android App
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
$651.5Ethics Credits -
On-DemandOnline & iOS/Android App
Enforcement of Judgments in New Jersey and New York
Obtaining a judgement in your favor is only a first step toward legal resolution. It’s an important one, obviously, but whether it comes by default, motion or trial, until that judgement is paid, the matter has not been resolved. This CLE course, which provides a thorough introduction for those seeking to collect a debt on their client’s behalf, will explain the mechanisms for collecting judgments in New York and New Jersey. The course will explain how judgments are entered in these states and... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
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 Credits -
On-DemandOnline & iOS/Android App
What All Lawyers Need to Know about US Banking Law
Regardless of whether you are representing a bank or a client who is a counter-party to a bank, bank regulatory issues may arise. Designed for general practitioners, this CLE course will offer an overview on the complexities of the US banking system and the various applicable laws and regulations. The purpose of the course is to familiarize attorneys regarding the relevant regulators. How banks are formed, what they are permitted to do and other transaction-related issues will be discussed wit... More Info
$552General Credits -
On-DemandOnline & iOS/Android App
Investing in the Cannabis Industry 101
With a special focus on key considerations and the art of navigating investments in the industry, this CLE course provides a comprehensive overview of the fastest growing industry in the US and abroad – cannabis. Indeed with legalization spreading across the country, the cannabis industry provides an incredible opportunity. But with that opportunity comes a particular landscape and legal nuances that must be taken into account before starting a venture. Presented by Brent Johnson, CEO of Hoban... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Mergers & Acquisitions in the Cannabis Industry
With legalization spreading across the US, the cannabis industry has become one of the fastest growing across the country and around the world. With this incredible opportunity comes a wide variety of specifics and legalities that must be taken into account before starting a venture. This CLE course, presented by Brent Johnson, CEO of Hoban Law Group which is exclusively dedicated to this industry, will explain the landscape and nuances unique to the hemp and marijuana industry. The course wil... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Effective Corporate Governance and Oversight
Designed to define and illustrate the impact of corporate governance and oversight in preventing governmental prosecution and enforcement, this CLE course will explain the role that boards of directors, senior management and others in an organization to create an effective corporate governance and oversight structure. The course will also explain ethics programs and enterprise risk management frameworks that these structures may require as well as the types of “independent” directors that a bo... More Info
$551.5General Credits -
On-DemandOnline & iOS/Android App
Regulation of Banks in the U.S.
Offering a comprehensive overview of the significant bank regulatory laws beginning in the Great Depression and stretching through to the 2010 Dodd Frank Act, this CLE course will explain all aspects of bank regulation in the US. The course will explain the state and federal agencies that have jurisdiction over banks and a variety of the regulatory compliance requirements including Dodd Frank Act requirements. Trends in governmental enforcement action against banks, recurring cycles of deregulat... More Info
$551.5General Credits
