Maryland CLE - All Courses
This is a listing of CLE Courses for Maryland. Please make your selection below of Maryland 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.
Maryland CLE
Accreditation Info
CLE is voluntary for Maryland attorneys. To view our full accreditation details please .
-
Overview of Adult Use Legislation in New York & New Jersey
Pending bills in New York and New Jersey related to taxation and legalization of cannabis are poised to have a striking impact on the medical industry. This CLE course will explain both New York’s pending Marijuana Regulation and Taxation Act (MRTA) and the pending legalization bill in New Jersey as well as the issues that stand in the way of legalization. The course will provide a view of what an inclusive, regulated cannabis industry would mean and differentiate between legalization and decrim... More Info
$551.75General Credits -
Protecting Your Cannabis Intellectual Property
The cannabis business and its related assets is becoming a lucrative venture. This CLE course will explain intellectual property law as it relates to trademarks, copyrights, patents and licensing and which types of cannabis businesses fall within the parameters of trademark protection. More Info
$291General Credit -
The Realities of Regulation: Regulating Adult Use After Legalization
From college student activist to small business entrepreneur, lobbyist and policy writer for Colorado’s groundbreaking legalization bill, Commissioner Shaleen Title has had a storied history, all of which brought her to her current role as Commissioner of the Massachusetts Cannabis Control Commission. In this riveting CLE course, she will explain the origins of the commission and the complexity of the political and economic structure within which regulations are built. Commissioner Title will r... More Info
$551.5General Credits -
Common Examination Findings and Effective Compliance Practices
FINRA cycle examinations can be nerve-wracking. Be prepared with this comprehensive CLE course on the most deficiencies noted during examinations and best practices for taking corrective action and updating compliance procedures. The course will discuss the most common findings in regulatory areas, identify controls and processes to address deficiencies and evaluate regulatory areas that require attention. More Info
$291General Credit -
Common Examination Findings and Effective Compliance Practices (Medium and Large Firm Focus)
Focused specifically on medium and large firms, this CLE course addresses common deficiencies uncovered FINRA examination and proactive measures that can be taken in response to exam recommendations. Senior staff explain the exam process, how to facilitate it and best practices when undergoing the process. The course will explain techniques to strengthen the current compliance program and prepare for your next examination. More Info
$291General Credit -
Effective Processes for Suspicious Activity Monitoring and Investigations
This fascinating and timely CLE course provides guidance on suspicious activity monitoring and investigations in anti-money laundering. Panelists will provide a firm understanding of the AML regulations and program requirements, best practices for identifying and reporting suspicious activity, evaluate firm procedures and stay updated on AML regulations expectations. More Info
$291General Credit -
Implementing a Risk-Based Program and Identifying Red Flags
Designed to provide insight on implementing an effective risk-based branch office inspection office, this CLE course will explain FINRA’s Member Regulation Department approach to executed examinations, provide strategies for preparing for and learning from exams and explain how FINRA uses tools and technology to support and modernize the risk-based examination framework. More Info
$291General Credit -
Suitability, Supervision and Surveillance
Panelists for this CLE course will present key issues regarding compliance with the suitability rule and provide advice on how firms and registered representatives can better analyze customers in order to do so. The course will discuss industry trends and how they intersect with suitability requirements such as senior customers, IRA rollovers, concentration levels, online recommendations and sales of complex products. The panelists will compare and contrast how broker-dealers use different busin... More Info
$291General Credit -
Common Examination Findings and Compliance Effective Practices for Institutional Firms
In this CLE course, industry practitioners will offer their experiences during FINRA cycle examinations, the corrective action taken and compliance procedures and practices based on their experiences. The course will provide expert guidance on preparing for the examination, the common deficiencies to be aware of, the examination process itself and how to facilitate it, and how to initiate procedural controls in response to the most common deficiencies noted. More Info
$291General Credit -
Detecting, Preventing and Investigating Fraud and Misappropriation
Regulators on the front lines of securities fraud offer information on current fraud schemes and potential threats in this riveting CLE course. The course will explain how to identify potential dangers associated with financial fraud and who to turn to when you suspect fraud. More Info
$291General Credit