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Finance CLE Course Catalog

Explore our entire library of CLE courses. Search the whole catalog or filter courses by state, practice area, provider, credit type, and format

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All CLE Courses For Finance

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58 minutes
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Maximizing Your Innovation ROI: R&D Tax Credits in 2024 and Beyond
Join Mike Woeber of Corporate Tax Advisors, Inc. and Michael Silvio, CPA with MGO as they dive deep into the intricate realm of innovation ROI, offering you the tools and knowledge necessary to navigate the evolving terrain of R&D tax credits.

The Knowledge Group

$75

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11 Credit States

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45 minutes
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The SEC's Enforcement of Financial and Accounting Fraud: Key Trends and Cases
Panelists emphasize the repercussions faced for financial disclosure and accounting fraud, discussing the Boeing and Granite Construction cases. Firms are urged to focus on compliance, cooperation, and disclosure controls to mitigate the risk of substantial penalties for misstatements.

Securities Docket

$75

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8 Credit States

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45 minutes
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The SEC Ramps Up its Scrutiny of Asset Managers, Broker-Dealers and Other Financial Firms
A panel of experts discusses issues such as electronic communications use, cooperation, and managing an investigation. Firms are advised to prepare for upcoming regulatory changes, prioritize implementing quick changes, and focus on staying ahead of industry changes and technology.

Securities Docket

$75

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9 Credit States

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45 minutes
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Masterclass - How to Keep the SEC From Suing Your Client
Counsel plays a huge role in helping clients avoid SEC lawsuits by addressing business issues, implementing procedures, and being proactive in compliance efforts. In-house counsel and client presence in SEC presentations, remedial efforts, and cooperation can aid in an SEC investigation.

Securities Docket

$75

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9 Credit States

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45 minutes
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Financial Firms in the SEC's Crosshairs - Key Developments
Financial firms such as asset managers, broker-dealers, private funds, and others face scrutiny and fines from the SEC for compliance failures. Expert panelists discuss how financial firms are facing increased scrutiny and large fines from the SEC for compliance failures, particularly concerning communication records and marketing rules.

Securities Docket

$75

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9 Credit States

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45 minutes
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Financial Disclosure and Accounting Fraud
Companies are urged to prioritize timely and comprehensive financial disclosure, cooperation, and rebuilding accounts in cases of accounting fraud to avoid enforcement actions and negative market effects, as discussed by SEC and private sector panelists.

Securities Docket

$75

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8 Credit States

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44 minutes
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Issuer Disclosure and Financial Reporting
Cooperation, robust internal controls, and a culture of compliance are key to preventing accounting fraud, as discussed by expert panelists from the SEC and the private sector. Effective communication and cooperation are vital in navigating investigations, empowering gatekeepers, and setting an example for other firms.

Securities Docket

$75

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8 Credit States

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45 minutes
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SEC Rulemaking for SPACs, ESG, Cybersecurity and More – The Impact on Issuers and Regulated Entities
A panel of experts discusses the SEC’s new rulemaking agenda relating to special purpose acquisition companies (SPACs), ESG, and cybersecurity breaches. This initiative aims to encourage innovation and provide reliable information for investors and customers.

Securities Docket

$75

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9 Credit States

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57 minutes
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Regulatory Pulse: Exploring Consumer Finance Updates and Trends
Join James W. Sandy, Member, and Paul J. Lysobey, Associate at McGlinchey Stafford PLLC, as they delve deep into the ever-changing landscape of consumer finance regulations and litigation trends. Speakers will also provide valuable insights into the latest updates and trends shaping the consumer finance industry.

The Knowledge Group

$75

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12 Credit States

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