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.
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
Cryptomorphing The Legal Profession: Musings From A Stacker In The Rye
Blockchain technology and cryptocurrency is a complicated area with a far-reaching impact on the legal profession. This CLE course will explore topics from the acceptance of cryptocurrency as payment for legal services to cryptocurrency and blockchain technology’s impact on payment systems’ security transactions, public record filing and smart contracts. The goal of the course is to motivate participants to learn more about this dynamic and exciting area of study. More Info
$551.5General Credits -
On-DemandOnline & iOS/Android App
Cryptocurrency Primer: What They Are, How They Work, Their History, and Their Future
Cryptocurrency is a complex area at the intersection of finance and law. This CLE course will explain cryptocurrency and its history as well as specific types such as Bitcoin and the origins of the various types. The course will explain digital tokens, governmental classifications and a look into the future of cryptocurrency. Issues of legality, constitutionality, and relationship to the gold standard and other valuations will all be discussed. More Info
$551.5General Credits -
On-DemandOnline & iOS/Android App
Building a Successful Solo Mergers and Acquisitions Practice
This informative CLE course will present the various tools that all successful merger and acquisition practices should have. The course will review the use of flowcharts and checklists as well as offer practice tips, client management strategies and software recommendations. More Info
$551.5General Credits -
On-DemandOnline & iOS/Android App
Vendor Management: Due Diligence and Oversight
Choosing new vendors can be fraught with challenges. This CLE course, presented by FINRA staff and industry practitioners, will review the most important considerations when embarking on this type of decision. The course will address how to find technical solutions that fit your firm as well as best practices for conducting a due diligence review. Contract issue, new software implementation and an in-depth understanding of its limitations will be provided. The course will help you crea... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
Variable Products & Retirement Planning
Presented by FINRA staff and industry practitioners, this CLE course will explain variable and retirement planning productions including how to create a variable product communication with respect to content and performance. Select topics such as supplemental hypothetical illustrations, comparisons and complexity of investment options and contracts will be addressed as will the importance of audience/context, substantiating claims, and disclosure. A successful review process and an und... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
The Inside Scoop on Insider Threats and Cybersecurity
This CLE program is designed to expand your understanding of the compounding risks associated with insider and related cyber threats. By joining this session, you will gain comprehensive knowledge about the various manifestations of these risks, their potential occurrence in different contexts, and most importantly, why it is crucial for your firm to prioritize the evolution of its programs in order to effectively detect and mitigate insider activity. In today's interconnected digital l... More Info
$291General Credit -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
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 -
On-DemandOnline & iOS/Android App
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