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Washington MCLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, a Washington State Bar Accredited CLE Sponsor. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

This CLE course will address a variety of advertising compliance issues concerning registered investment companies. These may include mutual funds, ETFs and closed-end funds. FINRA staff and industry experts will present the compliance challenges related to complex products such as single stock ETFs, non-transparent ETFs and ESG focused investments and crypto futures funds,.

The panel will also discuss regulatory interpretations and offer tips to stay in compliance.

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