South Dakota CLE - All Courses

This is a listing of CLE Courses for South Dakota. Please make your selection below of South 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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South Dakota CLE
Accreditation Info

CLE is voluntary for South Dakota attorneys. To view our full accreditation details please .

All Courses
  • Enforcement Initiatives, Developments and Priorities: 2019-2020 Update

    Enforcement trends and developments, priorities and principles that determine decision-making will all be discussed in this illustrative CLE course which utilizes real-life cases as examples. The course will provide guidance on compliance and regulatory practices and how to navigate enforcement investigations and the disciplinary process. The course will help you obtain a firm grasp on the key principles that guide enforcement outcomes including customer restitution, tips for effective respons... More Info

    $29
    1General Credit
  • 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

    $29
    1General Credit
  • High-Risk Activity Impacting Retail Investors

    Risk evaluation is critical in assessing potential liability. This CLE course, presented by FINRA staff, will provide the necessary insight to identify and assess high risk activity amongst representatives. The course will explain how that risk can be mitigated as early as the hiring process, include risk assessment as part of ongoing supervision and how the data accumulated can be utilized broadly. Using real-life example, the course will provide practical strategies for addressing high risk ac... More Info

    $29
    1General Credit
  • How FINRA Rules Get Made, Reviewed and Updated

    How a rule becomes a regulation and other fascinating insights into the FINRA Retrospective Rule Review process will be presented in this comprehensive CLE course. The course will explain upcoming rule changes, regulatory initiatives and how the advisory committees are used in this regard. Providing the necessary information to establish effective rules and practices with regards to the new regulatory rules, the course will also guide you in managing associated risks and identifying opportuni... More Info

    $29
    1General Credit
  • Mark-Up Disclosure Requirements

    With a focus on FINRA and MSRB mark-up disclosure requirements, this advanced CLE course will review securities covered by the rule and how to calculate mark-ups on the basis of the prevailing market price. Effective practices and tips as well as indicators for when disclosure requirements are triggered will be presented along with the latest in MSRB guidance. Mark- Disclosure Requirements More Info

    $29
    1General Credit
  • Reviewing Recent Enforcement and Regulatory Actions to Manage AML Risks

    Assessment of AML programs for potential pitfalls and vulnerability is critical for firms. This CLE course, presented by FINRA staff and industry experts, will explain regulatory trends and enforcement actions including those by the SEC and other agencies and criminal and governmental authorities. Methods to mitigate risk, due diligence tips and recent trends, including those involving crypto-currency will all be presented. More Info

    $29
    1General Credit
  • Emerging FinTech Trends: 2019-2020 Update

    Recent developments in the FinTech – financial technology – are wreaking havoc on the securities industry. This CLE course, presented by FINRA staff and industry representatives, will discuss these developments particularly in the fields of artificial intelligence, identity authentication tools and big data/cloud computing. The course will explain how these changes are and should be addressed as well as compare the regulatory risks that should be considered in investing. More Info

    $29
    1General Credit
  • Outside Business Activities and Private Securities Transactions: 2019-2020 Update

    There are a variety of conflicts of interests that may, and often do, arise as a result of regulatory and examination priorities such as outside business activities (OBA) and private security transactions (PST’s). This CLE course, presented by FINRA staff and industry practitioners, will explain how to understand and mitigate these conflicts as well as comply with regulatory requirements. The course will explain how to handle situations of dually registered advisors and understand the many chal... More Info

    $29
    1General Credit
  • Social Media and Digital Communications: 2019-2020

    This CLE course will explain how to stay updated in the ever-evolving world of digital marketing and communications. The course will explain how to define digital marketing and digital communication as well as discuss various app based messaging services and social media both within a firm and outside of it. A discussion of how to approach these forms of communication as well as handle video and podcast content and explain regulatory guidance for these services and information will all be explai... More Info

    $29
    1General Credit
  • Adam Walsh Act Cases

    The Adam Walsh Child Protection and Safety Law, enacted in 2006, was designed to protect children for sexual exploitation, prevent child abuse and pornography and promote internet safety. In doing so, however, the law also created an amendment to INA Section 204, which effectively prohibited both citizens and legal resident aliens from filing any family-based immigrant petition on behalf of any beneficiary of they have been convicted of any crime against a minor. This CLE course will address t... More Info

    $29
    1.25General Credits
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