Colorado CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Colorado. Please make your selection below of Colorado 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.
Colorado CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Certified Provider of CLE as recognized by the Colorado Supreme Court Continuing Legal and Judicial Education Committee. To view our full accreditation details please .
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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 -
Corporate Philanthropy: Where to Start and How to Get it Right
Philanthropic initiatives by companies have become almost expected in recent years. Corporate Social Responsibility has made it almost impossible to avoid. But how can a company give back? This CLE course will present the different program options available to companies, taking into account compliance issues, program consistency with a company brand and strategies to avoid legal liability. This CLE course will offer an interactive overview useful for both CSR and corporate foundation m... More Info
$291General Credit -
Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings
Cryptocurrencies and blockchain technology are sources of tremendous confusion, particularly given the recent market upheavals and drastic swings in their value. Whether cryptocurrency and blockchain technology are a fading fad or the beginning of a new direction in currency has yet to be determined, yet legal analysis may have a decided impact on the verdict. This CLE course will address the legal challenges and their impact on the industry as well as several key issues which... More Info
$291General Credit -
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 -
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 -
Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards
Both large and small companies have been faced with increasing cybersecurity compliance concerns. This informative CLE course will review the standards and requirements revisions published recently, which have broad implications for cybersecurity compliance. These include the Spec. Pub 800-53 (Security and Privacy Controls for Information Systems and Organizations), released by the National Institute of Standards and Technology (NIST), the PCI-DSS 4.0 published by the Payment Card Indu... More Info
$291General Credit -
Defining Antitrust Markets in Platform Industries
Designed to update generalists, anti-trust practitioners and inside counsel on the lower courts’ interpretation and application of Ohio v. American Express as it relates to defining antitrust markets involving platforms, this informative CLE course offers a brief but high level overview of antitrust law in the US. Taking into account the impact of the Supreme Court decision in this landmark case and the degree to which platforms have occupied the antitrust spotlight, the course will review the... More Info
$291General Credit -
Exempt Offerings
Designed to address industry and regulatory developments related to Reg D and Reg A+ offerings, this CLE course will address recent regulatory findings and common concerns. The course will also offer practical information and best practices for firms offering these products to retail investors. A discussion of Regulatory Notices 20-21 and 21-26 will be included. More Info
$291General Credit -
Financial Responsibility Rules and Relevant Touchpoints
Join us for an enlightening CLE course where our esteemed panelists will explore a range of topics related to SEC and FINRA financial responsibility rules. The discussion will encompass the regulatory obligations imposed on introducing, intermediary, carrying, and clearing firms as outlined in FINRA Rule 4311 and SEA Rule 17a-4. In addition, the panel will delve into other subjects such as liquidity management and the intricacies of fully-paid lending. More Info
$291General Credit -
Fintech Firms: Communications Compliance Topics
This CLE course presents the insights of FINRA staff and industry panelists on the challenges and effective practices of communications compliance for Fintech-focused firms. The course will cover topics such as mobile applications, integrated product offerings, digital engagement practices, and crypto assets. Panelists will offer tips and answer questions on the use of technology and how it can help navigate this dynamic area. More Info
$291General Credit
