Complex Products and Alternative Investments

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Wyoming CLE
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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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All Courses Available iOS/Android Web

About This Course

The sale of alternative investments include no small amount of due diligence obligations and effective practices. These include, but are not limited to, Private Placements, Regulation A+, Online Distribution Platforms, Opportunity Zone Funds Finders, Real Estate Investment Trusts, Blind Pools and Capital Acquisition Brokers. This CLE course, presented by FINRA staff and industry experts, will identify compliance risks of various securities products and how to implement training, supervision, surveillance and due diligence to minimize potential pitfalls. The course will explain the relevant regulatory trends, explain private placement rules, explain requirements and recommendations for private placements and REIT securities and how to vet complex products. Assessments, training guidelines and supervision programs as well as an in-depth understanding of regulatory expectations, examinations and enforcement trends will all be presented.

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