Rhode Island MCLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for Rhode Island. Please make your selection below of Rhode Island 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.
Rhode Island MCLE
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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On-DemandOnline & iOS/Android App
Estate Tax Repeal Is Not a Temporary or Permanent Certainty: How to Plan Now
With a variety of pending repeals and decisions on tax issues still undetermined, many estate planners have recommended that clients postpone decisions or initiate low risk planning until the estate and GST tax, capital gains upon death and other issues are resolved. However, in light of the recent True case, obvious decisions such as low gift tax exposure may not be so certain. This CLE course will offer guidance on estate planning in this volatile environment and how planners can help advise c... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
Fannie Mae and FHA Condominium Regulation and Policy
The regulations and processes for condominium eligibility with regards to loans are vast, complex and often ill-understood. Moreover, the differing requirements of Fannie Mae and the Federal Housing Administration (FHA) can further complicate matters. This CLE course will clarify all with a comprehensive look at agency eligibility, legal requirements, commercial space thresholds, FEMA requirements and the limits to investor ownership. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Financial Planning for Lawyers
Financial planning is about more than just retirement. This CLE course will address a variety of financial planning issues such as student loan debt, taxes, financial aid eligibility, and salary disbursement. The course will discuss the interrelationships between these factors and how to create annual budgets that account for them. Tax reduction strategies, family planning, loan repayment, planning for aging parents and estate planning will all be presented. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
FINRA’s Examination and Risk Monitoring Program
A firm grouping structure and the process of implementing it are fraught with issues. This CLE course will explain the lessons learned during this process and what firms can expect in the future. The course will explain how to understand new organizational structures in the exam, specialist and risk monitoring programs and review risk monitoring activities. The course will present what expectations you should have form the exam program and planning process and provide informati... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
Following the Money: A Primer on Fraudulent Transfer Litigation for the Uninitiated
Debt collection can be simple and straightforward, or difficult and even dirty when a debtor decides to make things complicated. Debtors facing lawsuits may attempt to shield themselves by giving assets to family or friends, leaving nothing for a creditor to take. This CLE course will offer tactics for combating what’s considered fraudulent transfers by the Uniform Fraudulent Transfer Act (UFTA) and the avoidance actions that can be taken. More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Form CRS: Practical Considerations for Attorneys
A CRS is a new, 2-4 page disclosure document that SEC-regulated firms are required to deliver to their clients. Adopted to help investors understand the various standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as potential conflicts of interest which may be intrinsic to a firm’s business practices. It is therefore essential for attorneys who need to refer clients to a financial professional or firm to be aware... More Info
$291General Credit
