California MCLE - All Courses

This is a listing of CLE Courses for California. Please make your selection below of California 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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California MCLE
Accreditation Info

United Institute for Continuing Legal Education is a CLE provider accredited by the California State Bar, Provider #15390. To view our full accreditation details please .

All Courses
  • Implementing a Risk-Based Program and Identifying Red Flags

    Designed to provide insight on implementing an effective risk-based branch office inspection office, this CLE course will explain FINRA’s Member Regulation Department approach to executed examinations, provide strategies for preparing for and learning from exams and explain how FINRA uses tools and technology to support and modernize the risk-based examination framework. More Info

    $29
    1General Credit
  • Suitability, Supervision and Surveillance

    Panelists for this CLE course will present key issues regarding compliance with the suitability rule and provide advice on how firms and registered representatives can better analyze customers in order to do so. The course will discuss industry trends and how they intersect with suitability requirements such as senior customers, IRA rollovers, concentration levels, online recommendations and sales of complex products. The panelists will compare and contrast how broker-dealers use different busin... More Info

    $29
    1General Credit
  • Common Examination Findings and Compliance Effective Practices for Institutional Firms

    In this CLE course, industry practitioners will offer their experiences during FINRA cycle examinations, the corrective action taken and compliance procedures and practices based on their experiences. The course will provide expert guidance on preparing for the examination, the common deficiencies to be aware of, the examination process itself and how to facilitate it, and how to initiate procedural controls in response to the most common deficiencies noted. More Info

    $29
    1General Credit
  • 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

    $29
    1General Credit
  • 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

    $29
    1General Credit
  • Working Together to Protect Senior Investors

    The senior citizen demographic grows each year and planning for the later stages in life has taken on new urgency as the population lives longer. This CLE course, joined by representatives from regulatory agencies, is designed to help you address the needs and concerns of seniors and soon-to-be seniors including diminished capacity, protection from financial abuse and other issues. The course will explain how to handle calls from seniors, plan for the possibility of cognitive impairment, importa... More Info

    $29
    1General Credit
  • International Taxation: A Primer for Business and Immigration Lawyers

    Taxation related to overseas investment in an ever-evolving legal issue. This CLE course will explain inbound taxation – foreigners investing or doing business in the US – as well as the applicable income taxes and ownership structures for non-resident aliens. The course will also cover pre-immigration planning, FIRPTA and the various changes to international taxation as a result of the new tax act. More Info

    $29
    1General Credit
  • The Deposition Whisperer: How to be the Alpha and Control the Room

    Hone your deposition skills in this CLE workshop designed to smooth client relationships and provide you with greater control over witness and adversary outcomes. Using the proven strategies presented in this CLE course, you will achieve an insight into how leading professional conduct depositions for more consistently positive outcomes. By drawing your attention to opportunities often wasted in discovery and learning to capitalize on them as well as integrating controlling law, practical and e... More Info

    $55
    2General Credits
  • So Your Commercial Borrower Is In Default? Protecting your Security Interest

    Over the past few years, New Jersey has seen a drastic rise in defaults and delays on loan obligations and mortgage payments for commercial properties. This CLE course will focus on the wide variety of issues confronting banks, commercial lenders, loan holders and private investors and how they can protect their security interests by instituting foreclosure proceedings. These proceedings function to recover properties at issue and initiate proceedings to secure debt payments. The course will r... More Info

    $55
    2.25General Credits
  • Defending The Notorious: A View From the Trenches

    From John Gotti to O.J. Simpson, there is no shortage of high profile cases involving defendants the public loves to hate. And right there by their side, is the defense attorney no one can understand. How can they defend such obvious criminals? In this fascinating CLE course, acclaimed attorneys Ben Brafman, John Lauro and Jeffrey Schwartz will explain how to launch a defense of such notorious public figures. The course will explain how an attorney makes the determination to take on such a case... More Info

    $55
    2General Credits
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