Washington MCLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Washington. Please make your selection below of Washington 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.
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 .
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Conflicts of Interest in Capital Markets and Investment Banking
Conflicts of interest in capital markets and investment banking firms are more and more common. This CLE course will offer useful and effective tips and strategies for managing these conflicts from how to raise concerns to how to find remedies when conflicts arise. The course will present methods that firms may use to identify and mitigate risks associated with conflicts of interest as well as apply practical compliance approaches when they arise. The course will offer formal a... More Info
$291Law & Legal Proc. -
Considerations and Practices for Supervising Independent Contractors
Independent contractors are notoriously difficult to supervise. This CLE course will offer suggestions and examples of effective supervision and compliance methods that firms can implement to improve their supervision. The course will address existing rules and common industry practices and enable you to better understand the challenges inherent in supervising independent contractors. Oversight, cybersecurity policies and procedures will all be presented. More Info
$291Law & Legal Proc. -
Consolidated Audit Trail
Compliance with a consolidated audit trail requires attention and preparation. This CLE course will explain how to properly and effectively prepare for compliance with the consolidated audit trail (CAT) and will include a discussion of deadlines, useful resources, and firm obligations. The course will also offer an update on the CAT National Market System (NMS) Plan. A review of test release updates, and information on upcoming dates worth noting will be included. More Info
$291Law & Legal Proc. -
Consolidated Audit Trail
Preparing for compliance with the consolidated audit trail (CAT) requires knowledge and strategy. This CLE course will explain preparation techniques including deadlines, resources and firm obligations. The course will announce key dates in the near future as well as resources available to help with preparation. More Info
$291Law & Legal Proc. -
Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings
Cryptocurrencies and blockchain technology are sources of tremendous confusion, particularly given the recent market upheavals and drastic swings in their value. Whether cryptocurrency and blockchain technology are a fading fad or the beginning of a new direction in currency has yet to be determined, yet legal analysis may have a decided impact on the verdict. This CLE course will address the legal challenges and their impact on the industry as well as several key issues which... More Info
$291Law & Legal Proc. -
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
$291Law & Legal Proc. -
Current Trends and Threats in Financial Crimes
During this CLE session, Deputy Director Abbate and Under Secretary Nelson engage in a comprehensive dialogue on the most recent advancements in financial crimes and the risks associated with illicit finance. The discussion encompasses novel and emerging threats concerning money laundering, fraud, securities fraud, cybercrime, digital assets, and sanctions. More Info
$291Law & Legal Proc. -
Cyber Security and Cyber Breach: What Lawyers and Their Law Firms Need to Know Now
This CLE program will explore the issues surrounding cyber security, the potential consequences of a cyber breach, and the ethical considerations that accompany such an event. With over 50 state laws in the United States concerning data privacy and security, companies must understand what legal and ethical obligations their business and clients have when it comes to personal information. The Federal Trade Commission also keeps an eye on companies to make sure that they are following th... More Info
$291Law & Legal Proc. -
Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards
Both large and small companies have been faced with increasing cybersecurity compliance concerns. This informative CLE course will review the standards and requirements revisions published recently, which have broad implications for cybersecurity compliance. These include the Spec. Pub 800-53 (Security and Privacy Controls for Information Systems and Organizations), released by the National Institute of Standards and Technology (NIST), the PCI-DSS 4.0 published by the Payment Card Indu... More Info
$291Law & Legal Proc. -
Digital Communications and Social Media
With digital marketing rapidly changing, how do firms remain in compliance? How do we communicate relevant, meaningful information in this dynamic digital age? This CLE course will explain the challenges being faced by industry and regulatory experts and how they are successfully addressing these challenges. The course will touch on hot button issues such as how firms engage technology to address their compliance obligations and how to implement creative methods for effective disclosur... More Info
$291Law & Legal Proc.
