Iowa CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Iowa. Please make your selection below of Iowa 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.
Iowa CLE
Accreditation Info
United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .
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Leveraging Regulatory Technology for Your Firm
In this CLE, the panelists delve into the impact of RegTech on the securities industry, examining the associated benefits, risks, and regulatory factors. They explore a range of RegTech tools that can enhance compliance efforts, including the innovative Machine Readable Rulebook introduced by FINRA. The session highlights the role of artificial intelligence and cloud computing in these tools. Key topics covered include: Considerations for utilizing RegTech tools, particularly those in... More Info
$291General Credit -
Market Regulation and Transparency Services Priorities: What You Need to Know
Join us for an engaging session where FINRA staff will provide comprehensive insights into the latest updates on market regulation and transparency priorities concerning equities, options, and fixed income compliance programs. During this session, our esteemed panelists will discuss the following key topics: Updates on market regulation and transparency priorities, encompassing ongoing initiatives and rulemaking efforts. In-depth thoughts and perspectives from FINRA panelists on equi... More Info
$291General Credit -
Market Structure: Current Developments and Future Trends
In this CLE program, panelists will engage in a discussion about the latest advancements in market structure. They will cover topics such as order handling, order routing, execution quality disclosure, and other relevant developments pertaining to fixed income and equity securities. The session will focus on the following points: Exploring ongoing developments and emerging trends in the industry, such as best execution guidance, concerns related to payment for order flow, and the impa... More Info
$291General Credit -
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 -
The Evolution of Branch Office Inspections
Join our panel discussion as we explore valuable insights gained from the shift towards remote branch inspections. Our esteemed speakers will delve into topics such as effective tools and documentation strategies, alternative vendors, key indicators to watch out for ("red flags"), as well as the latest developments in FINRA inspections and other regulatory advancements. More Info
$291General Credit -
The Firm Perspective on Monitoring and Protecting Against Financial Crimes
Don't miss this session covering financial crimes from a firms' perspective. This CLE session will cover a wide range of tactics, red flags, and mitigation strategies associated with fraud, insider trading, cybersecurity, and money laundering. Key topics include: Effective practices and controls for firms to monitor, protect against, and address AML, cybersecurity, and fraudulent activities. Tips to identify potential red flags for fraud and insider trading, along with guidance on re... More Info
$291General Credit
