Mississippi CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Mississippi. Please make your selection below of Mississippi 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.
Mississippi 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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Senior and At-Risk Investors
Seniors and Vulnerable Adults often fall under the wire. This CLE course will explain how FINRA rules and state requirements address this population, enabling firms to better address this increasingly growing client base and protect your organization. Presented by FINRA staff and industry experts, the course will review FINRA Rules 2165 and 4512 and address elder abuse prevention and protection acts. The course will also review State Report and hold laws. More Info
$291General Credit -
Social Media and Digital Communications: 2019-2020
This CLE course will explain how to stay updated in the ever-evolving world of digital marketing and communications. The course will explain how to define digital marketing and digital communication as well as discuss various app based messaging services and social media both within a firm and outside of it. A discussion of how to approach these forms of communication as well as handle video and podcast content and explain regulatory guidance for these services and information will all be explai... More Info
$291General Credit -
Social Media and the Rise of the Finfluencers
COVID-19 has dramatically altered the way we behave, some think for good. These changes impact all industries, including the financial services industry, where the rapid increase in digital adoption has changes the way we engage with one another and with our clients. This CLE course, presented by FINRA staff and industry analysts, will explain how social media and its influencers are changing the industry. The course will discuss the newest developments, effective compliance pr... More Info
$291General Credit -
The Basics of Blockchain and Cryptocurrency in Estate Planning
The Bitcoin network came into existence in 2009 and since then, internet currencies have made incredible strides. Their credibility is such that cryptocurrencies are accepted as secure forms of payment, they can be digitally stored and do not require a bank or middleman. This CLE course will present the fundamentals of cryptocurrency and how they may be a factor in your estate planning. 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 -
The Secure ACT: Five Key Considerations
This CLE course will explain the SECURE Act (Setting Every Community Up For Retirement Enhancement) and its impact on the nation’s retirement system. The course will address the five main focus areas of the SECURE Act and how, as an attorney, the law may affect your financial plan. The course will cover topics such as the new age requirements for RMD’s and age limitations on traditional IRA’s, distribution options for beneficiaries, flexibility and options with regards to 529 p... More Info
$291General Credit -
The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit
Compliance professionals face a myriad of challenges as the separation of business and compliance supervision roles becomes more complicated. In the CLE course, FINRA staff will be joined by industry practitioners to discuss how firms are re-defining the rules of supervisors and compliance personnel and the three lines of defense and their application to the risk model. The course will compare the first two lines of defense and explain how firms can create a culture of compliance. More Info
$291General Credit -
U.S. v. Newman: The Changing Landscape for Insider Trading Liability
What constitutes criminal insider trading has evolved dramatically in recent years. While the recent decision in U.S. v. Newman, a case against two portfolio managers, provides some clarity, many questions still remain. Central to the topic is the clarity needed in what constitutes “tipper” and “tippee” liability, what personal benefit a tipper must receive as well as the tippee’s understanding when receiving information provided improperly. This CLE course, designed for investment advise... More Info
$291General Credit -
UCC Insurance & Mezzanine Financing: Pitfalls of Perfection and Priority
Typically, a commercial lender will require that their personal property loan be secured by all of a borrower’s personal property. The process for obtaining such a loan is governed entirely by Article 9, a complicated and exhaustive set of guidelines. This CLE course will explain Article 9 and how to properly secure a personal property loan. The basics of UCCPlus Policy for Insurance on a personal loan, as well as the structure and subtleties of a mezzanine loan transaction, will also be reviewe... More Info
$291General Credit
