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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Redefining Communications Compliance for the Digital Age
Join us in exploring how firms are tackling the compliance challenges and leveraging the opportunities presented by the growing reliance on mobile apps, social media, and other digital channels for communication. In this enlightening session, industry experts and representatives from FINRA will provide valuable insights on navigating the intricate landscape of firm communications with the public. The panelists will delve into a range of important topics, including lessons learned from F... More Info
$291General Credit -
RegTech in Advertising and Compliance and Beyond
Regulatory Technology or RegTech has become the newest greatest development in regulatory compliance. This CLE course will explain the technological innovations being applies to creating efficient, effective risk-based compliance programs for communications with the public. How these tools are helping address new challenges and implications of supervision, vendor management, data privacy, and security. The course will provide a comprehensive understanding of RegTech, FinTech and data in financ... More Info
$291General Credit -
Regulation Best Interest and Form CRS: Recent Observations and What to Expect
This CLE course will explain the new Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules and the requirements of compliance. The course will explain how firms are complying with these rules, the examination process, tips, strategies and helpful resources to help with current and future compliance issues. The course will present some of the challenges firms may face in reconciling Reg Bi and Form CRS delivery as well as best practices for supervisi... More Info
$291General Credit -
Remote Supervision
Remote work has become the norm in the post-COVID world. This CLE course, presented by FINRA staff and industry panelists, will explain what they have learned as they moved to remote work. Presenters will discuss a wide range of issues including effective controls, processes and procedures being incorporated by member firms to address supervision in remote work environments. The course will enable you to identify these as well as evaluate effective practices that are emerging as a resu... More Info
$291General Credit -
Remote Supervision: Compliance Challenges in a Remote Working World
Day-to-day operations in firms all over the world were severely disrupted by the COVID-19 pandemic. With the majority of staff working remotely, supervisory practices were completely overhauled. The CLE course, presented by FINRA staff and industry specialists, will present the many challenges firms face with remote work and how we can all learn from these experiences to improve our Business Continuity Plans (BCP’s). More Info
$291General Credit -
Restricted Firm Obligations: What You Need to Know
Rule 4111 (Restricted Firm Obligations) went into effect recently, and creates new obligations and criteria for identification. This CLE course features FINRA staff as they present the new obligations under Rule 4111 as well as identify controls, processes and procedures that member firms have begun to implement to address the new obligations under the rule. The course will review the various identification metrics thresholds and explain restricted deposit accounts. More Info
$291General Credit -
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 -
Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning
The goal of Asset Protection & Estate Planning Program for Business & Investment Clients is to address both legacy and family considerations as well as provide complete asset protection while optimizing tax benefits. This CLE course will provide everything you need to know to design a program that is both easy-to-use and flexible enough to apply even as a portfolio grows. The programs must also be able to hold up under any legal scrutiny and be fully integrated so that assets are not le... More Info
$552General Credits -
Senior and At-Risk Investors
Seniors and Vulnerable Adults often fall under the wire. This CLE course will explain how FINRA rules and state requirements address this population, enabling firms to better address this increasingly growing client base and protect your organization. Presented by FINRA staff and industry experts, the course will review FINRA Rules 2165 and 4512 and address elder abuse prevention and protection acts. The course will also review State Report and hold laws. More Info
$291General Credit -
Setting Up Your Securities Clients For Success
Legal counsel will typically evaluate Exempt Offering Documents on legal grounds, ignoring the option of considering how offerings can be best articulated from the underwriting perspective. This CLE course will offer tips on how to approach securities documentation from the standpoint of underwriting standards which have the benefit of consistency and efficacy in offering documentation. The purpose of the course is to help legal counsel offer informed, risk-adjusted investment decision... More Info
$552General Credits
