Rhode Island MCLE - Securities Law Courses

This is a listing of Securities Law 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.

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Rhode Island MCLE
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United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .

  • On-Demand
    Online & iOS/Android App

    Common Issues with Navigating the Changing Landscape of Multistate Taxation of Crypto Currency & Crypto Based Companies

    State Taxation varies across US states. The State and Local Tax (SALT) levels in particular are different for every jurisdiction with their own tax code and tax treatment for different types of applications. For example, the revenue from a particular company is classified in California may vary widely from how it is viewed in Texas. The US Supreme Court, citing the Commerce Clause and various other constitutional considerations, places limitations on a state’s power to tax. One of these rela... More Info

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

    Safeguarding Your Business & Investment Clients with Proactive Asset Protection & Estate Planning

    The goal of Asset Protection & Estate Planning Program for Business & Investment Clients is to address both legacy and family considerations as well as provide complete asset protection while optimizing tax benefits. This CLE course will provide everything you need to know to design a program that is both easy-to-use and flexible enough to apply even as a portfolio grows. The programs must also be able to hold up under any legal scrutiny and be fully integrated so that assets are not le... More Info

    $55
    2General Credits
  • On-Demand
    Online & iOS/Android App

    Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

    This CLE course will examine the new, and fairly extensive, list of revisions to the regulatory capital requirements for both large and midsize banking organizations which were jointly proposed by US federal banking regulators. The revisions, which are quite lengthy, would seriously alter the requirements for market, credit, and operational risk, and while many of these revisions have long been anticipated, such as the re-evaluation of use of internal models, others are quite novel, such as th... More Info

    $55
    1.5General Credits
  • On-Demand
    Online & iOS/Android App

    The Case Against Tipper X

    On what he thought was a typical workday in New York City, Tom Hardin woke up, went to the gym and ran a few errands on the way to the office. And on his way, two FBI agents suddenly appeared, publicly flashed their badges and began questioning him about his job. Tom was shocked and confused and began to worry when the agents began sharing details about his personal life and his family, even where he was last weekend. It was that event that began the process of Tom Hardin going from he... More Info

    $55
    1.5General Credits
  • On-Demand
    Online & iOS/Android App

    Navigating the SEC and CFTC Whistleblowing Programs

    Whistleblower programs are not a particularly well known or understood feature of the various entities which have them, including the SEC, IRS and CFTC. This CLE course will present an overview of these programs including eligibility, anonymity and the whistleblower process. The course will review the steps needed to file a claim with each agency and explain how claims are analyzed. The course will then delve deeper into the various ambiguities in the whistleblower awards process and p... More Info

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

    Ask FINRA Senior Staff

    In this CLE program, senior staff members from FINRA deliver informative updates on crucial regulatory matters. The panelists engage with the audience, addressing inquiries concerning FINRA's risk-based examination program, disciplinary actions, market regulation initiatives, as well as new and forthcoming rules. Attendees can expect to gain valuable insights into these areas and obtain a comprehensive understanding of the current regulatory landscape. More Info

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

    Compliance and Legal Trends

    This CLE program will delve into the emerging trends, pivotal focus areas, and strategic initiatives that are currently shaping the landscape. Gain valuable insights from the panelists as they analyze the impact of these transformative changes on compliance practices. Discover how organizations are adapting, evolving, and effectively responding to the interplay of business dynamics, regulatory developments, and technology advancements. This engaging discussion offers a unique opportuni... More Info

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

    Capital Formation: Current Regulatory Landscape and Challenges

    Join us for an informative session where you can expand your knowledge on the regulatory landscape, potential challenges, and available resources for firms in the context of capital formation. In this CLE program, we will cover the following topics: Exploring the current regulatory landscape Examining challenges and obstacles from a firm's perspective Discovering valuable resources for firms Don't miss out on this opportunity to gain valuable insights and stay updated on the latest... More Info

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

    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

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

    Hot Topics in Municipal Securities and Other Fixed Income

    During this CLE program, a wide range of essential aspects pertaining to fixed income securities will be covered. This includes examination priorities, common findings, and enforcement actions, as well as rulemaking specific to the fixed-income market. An update on SEC Rule 15c2-11 will also be provided. The session will address the following topics: Review of recent enforcement actions concerning municipal securities, such as 529 Plans and municipal short positions. Additionally, it... More Info

    $29
    1General Credit
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