Alabama CLE - On-Demand Courses
This is a listing of CLE Courses for Alabama. Please make your selection below of Alabama 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.
Alabama CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Alabama State Bar Accredited CLE Sponsor. To view our full accreditation details please .
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On-DemandOnline & iOS/Android App
FINRA’s Suitability Rule and SEC’s Proposed Regulation Best Interest
This CLE course will provide practical advice on how firms and registered representatives can better assess customers and securities in order to comply with suitability obligations as set down by FINRA Suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule. The course will explain the distinction between the two and explain how to prepare and comply with suitability obligations. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
High-Risk Activity Impacting Retail Investors
Risk evaluation is critical in assessing potential liability. This CLE course, presented by FINRA staff, will provide the necessary insight to identify and assess high risk activity amongst representatives. The course will explain how that risk can be mitigated as early as the hiring process, include risk assessment as part of ongoing supervision and how the data accumulated can be utilized broadly. Using real-life example, the course will provide practical strategies for addressing high risk ac... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
How FINRA Rules Get Made, Reviewed and Updated
How a rule becomes a regulation and other fascinating insights into the FINRA Retrospective Rule Review process will be presented in this comprehensive CLE course. The course will explain upcoming rule changes, regulatory initiatives and how the advisory committees are used in this regard. Providing the necessary information to establish effective rules and practices with regards to the new regulatory rules, the course will also guide you in managing associated risks and identifying opportuni... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Mark-Up Disclosure Requirements
With a focus on FINRA and MSRB mark-up disclosure requirements, this advanced CLE course will review securities covered by the rule and how to calculate mark-ups on the basis of the prevailing market price. Effective practices and tips as well as indicators for when disclosure requirements are triggered will be presented along with the latest in MSRB guidance. Mark- Disclosure Requirements More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks
Assessment of AML programs for potential pitfalls and vulnerability is critical for firms. This CLE course, presented by FINRA staff and industry experts, will explain regulatory trends and enforcement actions including those by the SEC and other agencies and criminal and governmental authorities. Methods to mitigate risk, due diligence tips and recent trends, including those involving crypto-currency will all be presented. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Social Media and Digital Communications: 2019-2020
This CLE course will explain how to stay updated in the ever-evolving world of digital marketing and communications. The course will explain how to define digital marketing and digital communication as well as discuss various app based messaging services and social media both within a firm and outside of it. A discussion of how to approach these forms of communication as well as handle video and podcast content and explain regulatory guidance for these services and information will all be explai... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Adam Walsh Act Cases
The Adam Walsh Child Protection and Safety Law, enacted in 2006, was designed to protect children for sexual exploitation, prevent child abuse and pornography and promote internet safety. In doing so, however, the law also created an amendment to INA Section 204, which effectively prohibited both citizens and legal resident aliens from filing any family-based immigrant petition on behalf of any beneficiary of they have been convicted of any crime against a minor. This CLE course will address t... More Info
$291.25General Credits -
On-DemandOnline & iOS/Android App
Spousal Abuse Petitions for I-360 and I-751 Cases
There are vast complexities in evaluating psychosocial cases for spousal abuse, and the complications are made even more severe when they are in the context of immigration petitions. This timely and comprehensive CLE course, presented by attorney Mark Silver, will explain how these types of cases are evaluated from a clinical perspective as well as the potential challenges that the victim may face as married to an American citizen. Characteristics of abusers, typical cycles of abuse, understan... More Info
$291.25General Credits -
On-DemandOnline & iOS/Android App
Business Divorces: What to Know and Do When a Partnership Ends
Divorce is a harrowing experience regardless of the relationship and some business partnerships can be as intense as a marriage. This CLE course will examine the process of a business divorce, when one or more owners of a privately held business legally separate their respective interests either through a dissolution or buy-out. The course will explore the strategic considerations in such a decision as well as the legal concepts involved in representing a client going through a business divorce.... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
International Income and Estate Tax Planning
Using real life scenarios from specific case studies, this comprehensive CLE course covers estate tax planning and an explanation of the considerable differences between estate tax exclusions for US citizens as opposed to non-residents. The course will review the critical nature of planning for NRA investors and will advise on the best structures to use in those cases. The presenters will also present the dream inheritance and how to plan for US residents and resident heirs of NRA’s. The appli... More Info
$291General Credit
