Alaska CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Alaska. Please make your selection below of Alaska 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.
Alaska CLE
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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The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit
Compliance professionals face a myriad of challenges as the separation of business and compliance supervision roles becomes more complicated. In the CLE course, FINRA staff will be joined by industry practitioners to discuss how firms are re-defining the rules of supervisors and compliance personnel and the three lines of defense and their application to the risk model. The course will compare the first two lines of defense and explain how firms can create a culture of compliance. More Info
$291General Credit -
Turnkey Real Estate Investments as Securities
Turnkey real estate investments are growing in popularity for promoters and investors across the United States. But are they really just vanilla real estate deals, or a security in disguise? This CLE course will clarify turnkey investments as they relate to real estate, securities and general practitioners. More Info
$291.25General Credits -
Understanding Asset Protection
Learn how to protect yourself from the effects of lawsuits through personal asset protection. This CLE course will offer an in-depth guide for protecting your personal wealth including a basic history, exemption status under federal and state law, risk analysis and definitions. The course will also delve into protections for different types of assets such as physical and real asset, liquid, domestic, offshore and others. Protection tools such as Limited Liability Companies, Family Limi... More Info
$551.5General Credits -
Variable Products & Retirement Planning
Presented by FINRA staff and industry practitioners, this CLE course will explain variable and retirement planning productions including how to create a variable product communication with respect to content and performance. Select topics such as supplemental hypothetical illustrations, comparisons and complexity of investment options and contracts will be addressed as will the importance of audience/context, substantiating claims, and disclosure. A successful review process and an und... More Info
$291General Credit -
Vendor Management: Due Diligence and Oversight
Choosing new vendors can be fraught with challenges. This CLE course, presented by FINRA staff and industry practitioners, will review the most important considerations when embarking on this type of decision. The course will address how to find technical solutions that fit your firm as well as best practices for conducting a due diligence review. Contract issue, new software implementation and an in-depth understanding of its limitations will be provided. The course will help you crea... More Info
$291General Credit -
Venture Capital Funds: Formation, Terms, Issues Encountered, and Other Practice Tips for Counsel
Venture capital has made it possible for many young companies to grow into major corporations. By providing extensive financial and advisory support, they manage to accomplish these goals while sparing them from the scrutiny and disclosure requirements of the public market. Familiarity with the inner workings of capital funds as well as the various concerns they face such as regulatory issues are critical for attorneys. This CLE course will present an overview of venture capital funds... More Info
$291.25General Credits -
What Attorneys Need to Know About Capital Markets and Ratings
Ratings play a critical role in today's capital markets and the global economy. While lawyers come across ratings every day, they may not know what a rating actually means. Many do not understand the role that ratings played in the Credit Crisis. This informative CLE course presented by Jack Chen, a New York attorney and ratings expert, explains everything a lawyer should know about ratings and rating agencies. The course examines the regulatory framework and explains who uses ratings... More Info
$291.25General Credits
