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Securities Enforcement and Regulation Courses
| Page: 1 | Courses Per Page: 25 | 50 | 75 | 100 |
United States vs. Roger Duronio: A Criminal Investigation in Securities Fraud
| State Credits | AZ
G: 1.50 |
CA
G: 1.50 |
ND
G: 1.50 |
NY
G: 1.50 |
GA
G: 1.50 |
HI
G: 1.50 |
NJ
G: 1.50 |
| IL
G: 1.50 |
WA
G: 1.50 |
PA
G: 1.50 |
TS
G: 1.50 |
Title IV of Dodd-Frank Act: Changes to Regulatory Regime for Investment Advisers
| State Credits | AK
G: 1.00 |
AZ
G: 1.00 |
CA
G: 1.00 |
MO
G: 1.00 |
ND
G: 1.00 |
WV
G: 1.20 |
NY
G: 1.00 |
| GA
G: 1.00 |
HI
G: 1.00 |
IL
G: 1.00 |
The U.S. Government's Assault on Overseas Bank & Securities Accounts
| State Credits | AZ
G: 1.00 |
CA
G: 1.00 |
MO
G: 1.00 |
ND
G: 1.00 |
NY
G: 1.00 |
GA
G: 1.00 |
HI
G: 1.00 |
| NJ
G: 1.00 |
IL
G: 1.00 |
NV
G: 1.00 |
The Dodd-Frank Act: Is it Really a Complete Renovation?
Featuring:
Ernest Badway
View Full Course Description
| State Credits | AK
G: 1.00 |
AZ
G: 1.00 |
CA
G: 1.00 |
MO
G: 1.00 |
ND
G: 1.00 |
OR
G: 1.00 |
UT
G: 1.00 |
| NY
G: 1.00 |
GA
G: 1.00 |
HI
G: 1.00 |
NJ
G: 1.00 |
IL
G: 1.00 |
Event Date and Time: June 19 2013 12:00PM EDT
Parallel Investigations and Proceedings by the SEC and the DOJ (REBROADCAST)
| State Credits | KY
G: 2.50 |
Parallel Investigations and Proceedings by the SEC and the DOJ
| State Credits | AK
G: 2.00 |
AZ
G: 2.00 |
CA
G: 2.00 |
MO
G: 2.50 |
ND
G: 2.50 |
TX
G: 2.50 |
WV
G: 3.00 |
| NY
G: 2.50 |
VA
G: 2.50 |
GA
G: 2.00 |
HI
G: 2.00 |
NJ
G: 2.50 |
IL
G: 2.00 |
KY
G: 2.50 |
|
| TS
G: 2.50 |
Loan Trading
Featuring:
Julie Globus
View Full Course Description
| State Credits | AK
G: 2.00 |
AZ
G: 2.00 |
CA
G: 2.00 |
MO
G: 2.50 |
ND
G: 2.50 |
NY
G: 2.50 |
GA
G: 2.00 |
| HI
G: 2.00 |
NJ
G: 2.50 |
IL
G: 2.00 |
Launching a Hedge Fund
Featuring:
Simon Riveles
View Full Course Description
| State Credits | AK
G: 1.00 |
AZ
G: 1.00 |
CA
G: 1.00 |
MO
G: 1.00 |
ND
G: 1.00 |
NY
G: 1.00 |
GA
G: 1.00 |
| HI
G: 1.00 |
NJ
G: 1.00 |
IL
G: 1.00 |
Hedge Fund Managers Beware: Minimizing Insider Trading Risk While Using Expert Consultants
Featuring:
Ralph A. Siciliano
Ronald L. Rubin
Dianne Mattioli
Ricardo W. Davidovich
View Full Course Description
| State Credits | AK
G: 1.00 |
AZ
G: 1.00 |
CA
G: 1.00 |
MO
G: 1.00 |
ND
G: 1.00 |
TX
G: 1.00 |
WV
G: 1.30 |
| NY
G: 1.00 |
VA
G: 1.00 |
GA
G: 1.00 |
HI
G: 1.00 |
NJ
G: 1.00 |
IL
G: 1.00 |
KY
G: 1.00 |
| Page: 1 |