Alabama CLE - Finance and Banking Courses
This is a listing of Finance and Banking 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
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 -
On-DemandOnline & iOS/Android App
Complex Products and Alternative Investments
The sale of alternative investments include no small amount of due diligence obligations and effective practices. These include, but are not limited to, Private Placements, Regulation A+, Online Distribution Platforms, Opportunity Zone Funds Finders, Real Estate Investment Trusts, Blind Pools and Capital Acquisition Brokers. This CLE course, presented by FINRA staff and industry experts, will identify compliance risks of various securities products and how to implement training, supervision, s... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
Detecting, Preventing and Investigating Fraud and Misappropriation
Regulators on the front lines of securities fraud offer information on current fraud schemes and potential threats in this riveting CLE course. The course will explain how to identify potential dangers associated with financial fraud and who to turn to when you suspect fraud. More Info
$291General Credit
