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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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 -
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 -
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 -
Reverse Mortgages: Stay In Your House For The Rest Of Your Life? Not So Fast!
Reverse mortgage holders often file foreclosure actions without any basis for doing so. This CLE course will present a detailed overview of the determinations, which are at times very problematic, of reverse mortgage servicers of non-occupancy by borrowers. The course will also offer guidance to attorneys who need to litigate these actions on their clients’ behalf. Valuable insight into the effective handling of the entire process of such cases will be reviewed. More Info
$582General Credits -
Rules and Principles of The Division of Real Estate Between Married and Unmarried Partners
Divorce is difficult – both emotionally and financially. Separating lives that were once united is complicated from every respect and the division of assets is one of the most combative issues couples face. This CLE course will focus on the division of real estate and the importance of prenuptial and mid-marriage agreements in protecting a spouse’s interest in a property, particularly when a down payment was provided by a family member. The course will explain the various pitfa... 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
$582General 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
$582General Credits -
Social Media and the Rise of the Finfluencers
COVID-19 has dramatically altered the way we behave, some think for good. These changes impact all industries, including the financial services industry, where the rapid increase in digital adoption has changes the way we engage with one another and with our clients. This CLE course, presented by FINRA staff and industry analysts, will explain how social media and its influencers are changing the industry. The course will discuss the newest developments, effective compliance pr... More Info
$291General Credit -
The Case Against Tipper X
On what he thought was a typical workday in New York City, Tom Hardin woke up, went to the gym and ran a few errands on the way to the office. And on his way, two FBI agents suddenly appeared, publicly flashed their badges and began questioning him about his job. Tom was shocked and confused and began to worry when the agents began sharing details about his personal life and his family, even where he was last weekend. It was that event that began the process of Tom Hardin going from he... More Info
$582General Credits