Washington MCLE - Securities Law Courses
Washington MCLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Washington State Bar Accredited CLE Sponsor. To view our full accreditation details please .
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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
$291Law & Legal Proc. -
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
$291Law & Legal Proc. -
The Latest in Private Placement Sales Oversight
Stay informed about regulatory developments, compliance obligations, and best practices for selling private placements. This CLE session will cover: An overview of regulatory updates and compliance obligations related to private placements Effective practices for adhering to Regulation Best Interest (Reg BI) Communication strategies, due diligence processes, and managing conflicts of interest A discussion on Regulatory Notice 23-08, detailing firms’ responsibilities when recommen... More Info
$291Law & Legal Proc. -
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
$291Law & Legal Proc. -
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
$291Law & Legal Proc. -
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
$291Law & Legal Proc. -
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
$291Law & Legal Proc. -
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
$291Law & Legal Proc. -
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
$291Law & Legal Proc. -
The State Of The Art of Investment Advisor Regulations
This CLE course provides practical guidance for investment advisers following the Fifth Circuit's decision to vacate the SEC's latest Private Investment Adviser regulations. We will explore the reasons behind the SEC's decision not to appeal and the resulting implications. The course will also address current trends and best practices in artificial intelligence, the Marketing Rule, and other recent regulatory developments. Additionally, we will discuss broader judicial decision... More Info
$291Law & Legal Proc.
