Connecticut MCLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Connecticut. Please make your selection below of Connecticut 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.
Connecticut MCLE
Accreditation Info
United Institute for Continuing Legal Education is an accredited sponsor of CLE across the United States. To view our full accreditation details please .
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Guiding Witnesses Through The Minefield of FINRA On-The-Record Interviews (OTRs)
On-the-record interviews (OTR’s) are a key technique for Financial Industry Regulatory Authority investigations. This CLE course will explain FINRA’s OTR methodologies and how to best prepare to represent witnesses during these types of proceedings. The course will explain the overall goals of FINRA as well as provide goals for witnesses as well as strategies for what they should avoid. More Info
$291General Credit -
Heckerling Highlights, Key Tips and Insights: Advice From the Experts in Uncertain Times
The largest and most respected estate planning conference of the year, The Heckerling Institute of Estate Planning presents developments on a global and national scale and how they may impact estate planning. This CLE course will provide a comprehensive overview of the recent developments and planning ideas presented at this year’s conference and includes a detailed summary of the conference presentations. More Info
$551.75General Credits -
High-Risk Activity Impacting Retail Investors
Risk evaluation is critical in assessing potential liability. This CLE course, presented by FINRA staff, will provide the necessary insight to identify and assess high risk activity amongst representatives. The course will explain how that risk can be mitigated as early as the hiring process, include risk assessment as part of ongoing supervision and how the data accumulated can be utilized broadly. Using real-life example, the course will provide practical strategies for addressing high risk ac... More Info
$291General Credit -
Home Sweet Lis Pendens: Defending Residential Foreclosures in Illinois
The glut in foreclosures in recent years has made the business of defending against foreclosures more profitable than ever. But when should you advise your client to defend? What factors are needed to embark on this course of action? This CLE lecture will present the issues and considerations one should take into account when defending a residential foreclosure in Illinois. The course will present tips and strategies for managing the process, the stages of mounting a proper defense, the methods... More Info
$551.5General Credits -
Hot Topics in FinTech
FinTech (Financial Technology) is a dynamic, growing industry that seems to have been on fast-forward in recent years. This CLE course, presented by FINRA staff and industry practitioners, will explain how FinTech is defined by various stakeholders in the industry as well as new, innovative ways that firms are integrating FinTech into their business models. The course will address the critical importance of implementing a firm compliance structure in order to address regulatory obligat... More Info
$291General Credit -
Hot Topics in Municipal Securities and Other Fixed Income
There have been a variety of recent enforcement actions related to municipal securities (e.g. 529 Plans, municipal short positions), fixed-income related rulemaking, examination priorities and other typical problems that are revealed during Member Supervision and Market Regulations reviews. This CLE course, presented by FINRA and MSRB staff, will explain recent enforcement actions on muni shorts and 529’s as well as address a variety of topics related to municipal securities and recent... More Info
$291General Credit -
Hot Topics in Municipal Securities and Other Fixed Income
During this CLE program, a wide range of essential aspects pertaining to fixed income securities will be covered. This includes examination priorities, common findings, and enforcement actions, as well as rulemaking specific to the fixed-income market. An update on SEC Rule 15c2-11 will also be provided. The session will address the following topics: Review of recent enforcement actions concerning municipal securities, such as 529 Plans and municipal short positions. Additionally, it... More Info
$291General Credit -
How FINRA Rules Get Made, Reviewed and Updated
How a rule becomes a regulation and other fascinating insights into the FINRA Retrospective Rule Review process will be presented in this comprehensive CLE course. The course will explain upcoming rule changes, regulatory initiatives and how the advisory committees are used in this regard. Providing the necessary information to establish effective rules and practices with regards to the new regulatory rules, the course will also guide you in managing associated risks and identifying opportuni... More Info
$291General Credit -
How The New Proposed Tax Bill Can Impact Your Retirement Account
The recent tax proposal released by the House Ways & Means Committee has a huge impact on retirement accounts. This informative CLE course will provide details to key provisions of the proposal including the $10m retirement account cap, the elimination of Backdoor Roth IRA and of Mega Backdoor Roth IRA’s. Other provisions to be discussed include: Asset holding prohibitions Investment using IRA’s in entities for which you are an owner Statute of limitations extensions And more More Info
$291.25General Credits -
Ideas to Cash: Guiding Creative Clients In Monetizing Their Inventions and Other Creations
An idea can be difficult to express, much less to protect. The law offers various types of protections as well as a series of procedures to implement those protections including patents, trademarks, copyrights and trade secrets. This CLE course will review the different types of protections as well as how to monetize the methods. Samples of different methods and techniques for approaching targets will be presented so you can turn your clients’ ideas into profit. More Info
$551.75General Credits
