North Dakota CLE - Finance and Banking Courses

This is a listing of Finance and Banking CLE Courses for North Dakota. Please make your selection below of North Dakota 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.

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North Dakota 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 .

  • Live Webinar
    Friday, December 20, 2024
    12:00 PM - 2:00 PM Eastern Time (EDT)
    $55
    2General Credits
  • On-Demand
    Online & iOS/Android App

    Foreclosure 101: An Overview of the Process to Recover Real Property Across the Country

    This CLE course offers a comprehensive overview of key topics relevant to legal practitioners working in residential foreclosure on behalf of lenders nationwide. The course covers essential documents, concepts, terminology, and strategies for effectively navigating the foreclosure process. Additionally, it highlights common challenges, pitfalls, and homeowner defenses that may arise during foreclosure proceedings. More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    The State Of The Art of Investment Advisor Regulations

    This CLE course provides practical guidance for investment advisers following the Fifth Circuit's decision to vacate the SEC's latest Private Investment Adviser regulations. We will explore the reasons behind the SEC's decision not to appeal and the resulting implications. The course will also address current trends and best practices in artificial intelligence, the Marketing Rule, and other recent regulatory developments. Additionally, we will discuss broader judicial decision... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Silicon Valley Bank: Do Its Outside Directors Share in the Blame for Its Failure?

    This CLE course explores the high-profile collapse of Silicon Valley Bank. This case study examines the factors leading to one of the largest bank failures in U.S. history, resulting from a rapid and massive bank run triggered by the disclosure of severe financial issues. With $209 billion in assets, the bank's sudden downfall sparked intense scrutiny and debate about regulatory oversight and the performance of its senior management team. However, less attention has been given to the r... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Compliance and Legal Trends in The Financial Industry

    Join leading experts from member firms as they explore the latest trends and strategic priorities shaping the legal and compliance landscape. In this dynamic CLE session, our panelists will share their invaluable insights on how evolving business, regulatory, and technological changes are transforming these critical functions. Participants will gain a comprehensive understanding of: Emerging trends and challenges in legal and compliance roles. Strategic focus areas to enhance legal and... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Ask FINRA Senior Leaders

    In this CLE session, senior staff from FINRA will provide crucial updates on current regulatory issues and initiatives. Join us as expert panelists delve into FINRA's risk-based examination program, recent disciplinary actions, market regulation programs, and the latest and forthcoming rules. This session will cover a range of vital topics, including: Modernizing FINRA Rules in a Post-COVID World: Explore initiatives like the Remote Supervision and Inspection (RSL) and the Remote In... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals

    Join our expert panel for a deep dive into Regulation Crowdfunding (Regulation CF) and its impact on broker-dealers and funding portals. This CLE session will provide valuable insights into regulatory risks and best practices for maintaining compliance. Key discussion points include: Regulation CF for Broker-Dealers: Understand the specific requirements and strategies for broker-dealers participating in crowdfunding offerings. Regulation CF for Funding Portals: Explore the unique c... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Crypto Assets: Trends, Regulatory Developments and Resources

    Dive into the latest updates in cryptocurrency regulation in this insightful CLE session. We'll cover a range of critical topics, including the recent crypto-assets retail communications initiative, emerging trends in crypto misconduct, and practical resources for navigating the evolving landscape. Key discussion points include: Regulatory Developments: Review the December 2023 crypto-assets retail communications sweep. Address disclosure and compliance concerns in OBAs and priv... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    Financial Crimes: Outpacing the Threats

    In today's rapidly evolving financial landscape, the threat of financial crimes is ever-present and increasingly sophisticated. This CLE course delves into the latest trends and emerging tactics in financial crime, including fraud, money laundering, and cybercrime. Through a combination of theoretical foundations and practical applications, participants will learn how to anticipate and counteract these threats. Key topics include: Understanding the spectrum of financial crimes and th... More Info

    $29
    1General Credit
  • On-Demand
    Online & iOS/Android App

    FINRA's Disciplinary Hearing Process

    This CLE course features perspectives from FINRA Enforcement counsel, defense counsel, and a hearing panelist. The course aims to enhance your understanding of FINRA's disciplinary hearing process, focusing on the key differences between self-regulated hearings and those conducted by administrative law judges. Topics covered will include: The distinctions between FINRA hearings and administrative law judge hearings. The conflicts clearance process for panelists and hearing officers.... More Info

    $29
    1General Credit
Decorative Arc

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