Michigan CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Michigan. Please make your selection below of Michigan 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.
Michigan CLE
Accreditation Info
CLE is voluntary for Michigan attorneys. To view our full accreditation details please .
-
Advertising Compliance Boot Camp: Fundamentals of FINRA Rule 2210
For those new to FINRA’s advertising rules, there is a great deal to absorb. This CLE course will offer a complete overview on FINRA Rule 2210 – Communications with the Public. The course will explain filing requirements and exemptions, record-keeping requirements, internal supervision and approval and content standards. Applicability to financial services communications and marketing materials as well as strategies for submitting communications for review to the Advertising Regulation Departm... 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 -
Essentials of Corporations, Partnerships and LLC's
Presented by business lawyers Eli Greenberg and Mark Silverstein, this CLE course will offer an overview of the four principle business entities - Corporations, General Partnerships, Limited Liability Companies, and Limited Partnerships. The course will explain the ins and outs of organizing, managing and financing such entities as well as how to deal with mergers & acquisitions and option plans. Fiduciary duties and indemnification of management will also be discussed. More Info
$291.25General Credits -
What All Lawyers Need to Know about US Banking Law
Regardless of whether you are representing a bank or a client who is a counter-party to a bank, bank regulatory issues may arise. Designed for general practitioners, this CLE course will offer an overview on the complexities of the US banking system and the various applicable laws and regulations. The purpose of the course is to familiarize attorneys regarding the relevant regulators. How banks are formed, what they are permitted to do and other transaction-related issues will be discussed wit... More Info
$552General Credits -
Investing in the Cannabis Industry 101
With a special focus on key considerations and the art of navigating investments in the industry, this CLE course provides a comprehensive overview of the fastest growing industry in the US and abroad – cannabis. Indeed with legalization spreading across the country, the cannabis industry provides an incredible opportunity. But with that opportunity comes a particular landscape and legal nuances that must be taken into account before starting a venture. Presented by Brent Johnson, CEO of Hoban... More Info
$291General Credit -
Mergers & Acquisitions in the Cannabis Industry
With legalization spreading across the US, the cannabis industry has become one of the fastest growing across the country and around the world. With this incredible opportunity comes a wide variety of specifics and legalities that must be taken into account before starting a venture. This CLE course, presented by Brent Johnson, CEO of Hoban Law Group which is exclusively dedicated to this industry, will explain the landscape and nuances unique to the hemp and marijuana industry. The course wil... More Info
$291General Credit -
Effective Corporate Governance and Oversight
Designed to define and illustrate the impact of corporate governance and oversight in preventing governmental prosecution and enforcement, this CLE course will explain the role that boards of directors, senior management and others in an organization to create an effective corporate governance and oversight structure. The course will also explain ethics programs and enterprise risk management frameworks that these structures may require as well as the types of “independent” directors that a bo... More Info
$291.25General Credits -
Complex Products and Alternative Investments
The sale of alternative investments include no small amount of due diligence obligations and effective practices. These include, but are not limited to, Private Placements, Regulation A+, Online Distribution Platforms, Opportunity Zone Funds Finders, Real Estate Investment Trusts, Blind Pools and Capital Acquisition Brokers. This CLE course, presented by FINRA staff and industry experts, will identify compliance risks of various securities products and how to implement training, supervision, s... More Info
$291General Credit -
FINRA’s Suitability Rule and SEC’s Proposed Regulation Best Interest
This CLE course will provide practical advice on how firms and registered representatives can better assess customers and securities in order to comply with suitability obligations as set down by FINRA Suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule. The course will explain the distinction between the two and explain how to prepare and comply with suitability obligations. More Info
$291General Credit -
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
