New Hampshire MCLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for New Hampshire. Please make your selection below of New Hampshire 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.
New Hampshire MCLE
Accreditation Info
New Hampshire attorneys must self-determine whether a program is eligible for credit and self-report their attendance. The United Institute for Continuing Legal Education believes that its courses meet the requirements of NH Supreme Court Rule 53 and qualify towards the annual NHMCLE requirement. To view our full accreditation details please .
-
Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know
Referring clients to financial advisers carries some degree of risk. Attorneys need to be knowledgeable about the regulatory framework that distinguishes financial advisers, particularly given the 2020 disclosure documents (Form CRS). This CLE course will explain the regulation of financial advisers and how standards of care differ. The course will offer strategies for recognizing potential conflicts of interest that may impact the adviser-client relationship as well as how new SEC di... More Info
$291General Credit -
Considerations and Practices for Supervising Independent Contractors
Independent contractors are notoriously difficult to supervise. This CLE course will offer suggestions and examples of effective supervision and compliance methods that firms can implement to improve their supervision. The course will address existing rules and common industry practices and enable you to better understand the challenges inherent in supervising independent contractors. Oversight, cybersecurity policies and procedures will all be presented. More Info
$291General Credit -
Consolidated Audit Trail
Preparing for compliance with the consolidated audit trail (CAT) requires knowledge and strategy. This CLE course will explain preparation techniques including deadlines, resources and firm obligations. The course will announce key dates in the near future as well as resources available to help with preparation. More Info
$291General Credit -
Consumer Chapter 7 & 13 Bankruptcy: What Attorneys Need to Know About Conducting a Consult
Consumer bankruptcy consults are complex and properly informing clients is labor intensive. This CLE course will offer an introduction in conducting a thorough and well-organized consumer bankruptcy consult which will both assist the attorney’s analysis of the case and educate the client about the difference between Chapter 7 and 13 and the benefits of one over the other. The course will offer tips and tools as well as sample visual aids to keep a consult on track, maximizing the information... More Info
$291General Credit -
Current Issues Under Regulation Best Interest and Form CRS
A dynamic forum brings together regulators and industry practitioners, fostering discussions that encompass a wide range of current topics and valuable lessons derived from experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). These exchanges of insights delve into various perspectives, exploring firm effective practices and examination experiences to gain a comprehensive understanding of these regulatory frameworks. Within this forum, regulato... More Info
$291General Credit -
Current Trends and Threats in Financial Crimes
During this CLE session, Deputy Director Abbate and Under Secretary Nelson engage in a comprehensive dialogue on the most recent advancements in financial crimes and the risks associated with illicit finance. The discussion encompasses novel and emerging threats concerning money laundering, fraud, securities fraud, cybercrime, digital assets, and sanctions. More Info
$291General Credit -
Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards
Both large and small companies have been faced with increasing cybersecurity compliance concerns. This informative CLE course will review the standards and requirements revisions published recently, which have broad implications for cybersecurity compliance. These include the Spec. Pub 800-53 (Security and Privacy Controls for Information Systems and Organizations), released by the National Institute of Standards and Technology (NIST), the PCI-DSS 4.0 published by the Payment Card Indu... More Info
$291General Credit -
Exempt Offerings
Designed to address industry and regulatory developments related to Reg D and Reg A+ offerings, this CLE course will address recent regulatory findings and common concerns. The course will also offer practical information and best practices for firms offering these products to retail investors. A discussion of Regulatory Notices 20-21 and 21-26 will be included. More Info
$291General Credit -
Financial Responsibility Rules and Relevant Touchpoints
Join us for an enlightening CLE course where our esteemed panelists will explore a range of topics related to SEC and FINRA financial responsibility rules. The discussion will encompass the regulatory obligations imposed on introducing, intermediary, carrying, and clearing firms as outlined in FINRA Rule 4311 and SEA Rule 17a-4. In addition, the panel will delve into other subjects such as liquidity management and the intricacies of fully-paid lending. More Info
$291General Credit -
Fintech Firms: Communications Compliance Topics
This CLE course presents the insights of FINRA staff and industry panelists on the challenges and effective practices of communications compliance for Fintech-focused firms. The course will cover topics such as mobile applications, integrated product offerings, digital engagement practices, and crypto assets. Panelists will offer tips and answer questions on the use of technology and how it can help navigate this dynamic area. More Info
$291General Credit
