Alabama CLE - Corporate Law Courses

This is a listing of Corporate Law 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.

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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 .

  • Live Webinar
    Friday, August 23, 2024
    12:00 PM - 1:00 PM Eastern Time (EDT)

    Live Webinar: Franchise Law

    A full description of this course will be coming soon. Stay tuned! More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    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

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    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

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    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

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Modernizing Off-Channel Communications Supervision

    Join our panelists as they share insights from thematic reviews of off-channel communications, including text messages and social media platforms. Discover effective techniques firms are using to oversee their communications. This session will cover: The communications landscape Rule requirements for books and records, public communications, and supervision SEC and FINRA enforcement actions Observations from reviews of off-channel communications OSE-facilitated communications roundt... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Promoting Market Integrity: FINRA’s Role in Market Structure

    Gain insights from regulatory and industry experts on FINRA’s efforts to uphold market integrity and the impact of new and evolving regulations. This CLE program will cover: New and emerging rules SEC market structure proposals Securities lending practices Transparency initiatives shaping the market. More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

    This CLE course delves into essential considerations for firms outsourcing activities or functions to third-party providers. Learn from panelists about mitigating vendor risk through robust technology governance programs that cover the entire vendor engagement lifecycle, from onboarding and ongoing due diligence to event response and offboarding. Topics include: Vendor management and due diligence per Regulatory Notice 21-29 (FINRA's reminder of supervisory obligations related to th... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    The Progression of Regulation Best Interest and Form CRS

    This CLE program will explore recent observations on firms' compliance with Regulation Best Interest (Reg BI) and Form CRS. The discussion will provide valuable insights and practical guidance on key topics such as Reasonably Available Alternatives, the Care Obligation, and managing Conflicts of Interest. Key topics include: Recent findings by the SEC and FINRA regarding Reg BI and Form CRS compliance. Interpretation, guidance, and best practices: In-depth analysis of recent SEC... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Basic Business Lawyering For Small Company Clients

    Small companies have specific legal concerns, and they are not always the same as those that apply to medium or large companies. Their legal needs may differ as well. This informative introductory CLE course will help new attorneys planning to practice business law as well as seasoned attorneys looking to pivot to the area and represent smaller companies, typically described as those with less than $100M annual revenue and fewer than 500 employees, with the skills to navigate these are... More Info

    $107
    3.6General Credits
  • On-Demand
    Online & iOS/Android App

    International Intellectual Property Transactions in Many Countries

    Beginning with a brief review of the fundamentals of intellectual property categories recognized under US law, as well as those of many other countries, and the methods for internationally registering associated intellectual property, this CLE course will then delve deeper into a discussion of issues relating to why protection under these categories is insufficient. The course will address developing business activities that are difficult condense into the traditional IP categories, an... More Info

    $55
    1.6General Credits
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