Georgia CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Georgia. Please make your selection below of Georgia 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.
Georgia CLE
Accreditation Info
Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a provider of CLE courses in Georgia approved by the Georgia Commission on Continuing Lawyer Competency, sponsor #3730. To view our full accreditation details please .
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Gambling: The "Secret" Addiction
Alcoholism, drug addiction and mental health disorders are on the rise, leading to an increase in impairment in the legal profession. According to the statistics, 1 in 3 attorneys will need mental health services at some point in their careers. Yet there are other addictions, such as gambling, which is lesser known but can be just as damaging. The US Supreme Court Case of Murphy vs. NCAA upheld the legality of gambling across the country and in almost no time, Pennsylvania had on-line... More Info
$291General Credit -
Gamification, Mobile Apps and Digital Engagement
This CLE course will offer insights into the increasingly dynamic world of digital engagement practices including broker dealers’ mobile apps, gamification, marketing and online platforms. The course will explain how regulatory and compliance experts are addressing the rising use of data analytics to initiate digital communication. Risks and benefits of digital engagement features as well as how to effectively supervise these features will be presented as will the ways in which the fin... More Info
$291General Credit -
Gamification, Social Media, and Digital Communications Perspectives
Gamification and social media have the potential to capture investors’ attention and influence their behavior. This CLE course will explain FINRA’s view on the dynamic world of digital communications as well as the risks and benefits of gamification features on broker-dealers’ apps and websites. The course will consider the impact on notifications and alerts, digital marketing and the impact of social media, particularly during the pandemic and beyond. The course will explain h... More Info
$291General Credit -
General Brokerage and Supervision
In this instructive CLE course, FINRA staff and industry practitioners will review advertising compliance and sales practice as applicable to general brokerage firms as well as their registered representatives. Advertising compliance challenges and methodologies for addressing advertising rules as they relate to creating marketing materials, supervisions, dual registered representatives, radio shows and seminars will be addressed as well as issues such as private placements and consolidated re... More Info
$291General Credit -
GRAT and Valuation Planning After CCA 202152018: What Practitioners Need to Know
The CCA 202152018, released at the end of 2021, addresses the valuation challenge regarding the consideration that should be given to a potential sale when valuing an asset. Its impact on grantor retained annuity trusts (GRATs) and how an appraiser valuates the implications of a potential sale from no sale, conversations with buyers, letters of intent, binding contracts and so forth across the continuum. The recent changes place a possible sale fairly close to an actual sale in the pro... More Info
$291General Credit -
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
$551.5General 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
