Washington DC CLE - All Courses

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

CLE is voluntary for Washington DC attorneys. To view our full accreditation details please .

All Courses
  • Fraud Detection and Prevention

    Even fraud has fashion trends. This CLE course will present recent or noteworthy fraud cases and how these trends impact the financial services industry. The course will focus on frauds that impact the brokerage industry, offer strategies for identifying problematic situations and explain the procedures to follow when fraud is suspected. The course will ensure you understand emerging trends, particularly in the pandemic environment, explain how to identify elder abuse and how to protec... More Info

    $29
    1General Credit
  • Gamification, Social Media, and Digital Communications Perspectives

    Gamification and social media have the potential to capture investors’ attention and influence their behavior. This CLE course will explain FINRA’s view on the dynamic world of digital communications as well as the risks and benefits of gamification features on broker-dealers’ apps and websites. The course will consider the impact on notifications and alerts, digital marketing and the impact of social media, particularly during the pandemic and beyond. The course will explain h... More Info

    $29
    1General Credit
  • Market Regulation Priorities

    Current regulations and new rules have shifted market regulation priorities. This CLE course will offer an update on recent initiatives and rules and how they impact the priorities of today. The course will be presented by FINRA panelists who will offer insights on equities, options and fixed income compliance programs. The course will also review FINRA’s Market Regulation Examination priorities and summarize recent disciplinary actions as they relate to fixed income, equities and opti... More Info

    $29
    1General Credit
  • Remote Supervision: Compliance Challenges in a Remote Working World

    Day-to-day operations in firms all over the world were severely disrupted by the COVID-19 pandemic. With the majority of staff working remotely, supervisory practices were completely overhauled. The CLE course, presented by FINRA staff and industry specialists, will present the many challenges firms face with remote work and how we can all learn from these experiences to improve our Business Continuity Plans (BCP’s). More Info

    $29
    1General Credit
  • Privacy Law & Policy: Keeping Clients Out of Regulators’ Crosshairs

    Consumer-facing businesses are under growing compliance pressure with the evolving privacy laws such as California’s Consumer Privacy Act (CCPA) and other enhanced state data breach laws. This informative CLE course will offer a solid background on both current and emerging federal and state privacy gaps and explain how to advise clients on compliance-related issued. The course will present real-world events as well as enforcement actions and explain privacy requirements and challenges... More Info

    $55
    1.5General Credits
  • Basics of IRA Taxation & Investment Rules

    All IRA’s follow a system of basic taxation rules. These apply to Traditional IRA’s, Roth IRA’s, SEP IRA’s and SIMPLE IRA’s. This CLE course will offer a detailed overview of these rules as well as the prohibited transaction and unrelated taxable income rules that may apply to retirement accounts. The course will present the history of the US retirement system as well as the contribution, distribution and other tax rules that relate to specific IRA’s. An investigation of investment tre... More Info

    $55
    1.5General Credits
  • Employment Agreements: Protection for All Involved

    Employment agreements join the parties, where one or both are individuals, over short or long time periods. In order to be effective, these agreements must be regarded as advancing and protecting the self-interests of both parties. They must include the conditions of employment, responsibilities of each party, compensation, benefits and standards as well as factors that would trigger early termination. This CLE course will present how these agreements should be built, the inclusion of... More Info

    $29
    1General Credit
  • Every-Day Ethics and Playing By The Rules

    Representation of clients who commit DUI’s as well as other vehicular and criminal offenses can pose a variety of ethical dilemmas for representing counsel. More often than not, these issues arise as a result of conflict between the client’s needs, the license to practice, the prosecutor and the court’s obligation to maintain a truth-seeking process. This CLE course will explain these issues and offer first-hand knowledge in balancing conflicting interests while remaining focused on su... More Info

    $34
    1.25Ethics Credits
  • Litigating Successfully: Understanding Commercial Division Rules Adopted by the NY Trial Courts and More

    The new Uniform Rules of Court for the NY Supreme and County Courts have been adopted with the intent of adding selected Rules of the NYS Commercial Division. This CLE course will identify the new rules as well as explain how these new rules impact their litigation in New York State courts. The course will ensure you are knowledgeable on how these rules apply. More Info

    $29
    1.25General Credits
  • Representing Applicants before State Liquor Authorities and the TTB

    It’s difficult to imagine a time when the sale of alcohol was prohibited. Yet the current three tier system for the manufacture, distribution and sale of alcoholic beverages in the US was the result of prohibition. This CLE course, presented by Arielle Albert and Keven Danow, will present the regulatory schemes that states adopted to address these issues before the prohibition when states either took control over sales, elected a licensing scheme or remained dry, or at least partially... More Info

    $29
    1.25General Credits
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