This course will review recent securities regulator changes, enforcement trends, and future initiatives impacting financial institutions, investment professionals, and the investment management industry.
This webinar will be available for purchase until September 29, 2024.
Subscribers have 10 days from the date of purchase to complete the webinar. After 10 days you will no longer have access to the webinar and will not be able to claim the CLE hours.If you have not paid your sustaining NSBA dues but would like to do so in order to receive discounted rates on webinars purchased through the portal (along with many other benefits), please visit https://nebar.site-ym.com/?page=JoinNSBA.
Nebraska MCLE #239239. 1.0 CLE Hours. (OnDemand credit)
Iowa MCLE #387433. 1.0 CLE Hours. (OnDemand credit)
This course will review recent securities regulator changes, enforcement trends, and future initiatives impacting financial institutions, investment professionals, and the investment management industry.
Topics covered will include environmental, social, and governance issues, noteworthy enforcement actions, and areas which will likely see additional regulatory focus in the future.
Justin Yates is a Director at First National Bank of Omaha, where he focuses on legal, compliance, and risk management issues impacting trust and investment services. He received his undergraduate from Northwest Missouri State University and his J.D. from the University of Nebraska College of Law.
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If you have any questions for the presenter(s) of this webinar, please send your question via email to Allyson Felt at afelt@nebar.com. She will forward your question to the presenter(s), who will provide an answer promptly.
Active Nebraska attorneys are required to complete 10 hours of continuing legal education (CLE) each year. Two of those 10 hours must be in the field of professional responsibility (ethics). Nebraska attorneys may claim only 5 hours of distance-learning CLE per year. Webinars viewed on this portal are considered distance-learning. After completing a viewing of a webinar on this portal, you must self-report your CLE credit on the Nebraska Supreme Court’s Attorney Services Division’s website at https://mcle.wcc.ne.gov.
For more information about Nebraska CLE requirements, see the MCLE Commission’s website at https://supremecourt.nebraska.gov/13449/mandatory-continuing-legal-education-mcle. For questions about CLE requirements, your own CLE transcript, or about reporting CLE credit online, contact the Nebraska Supreme Court’s Attorney Services Division at (531) 510-3641. For questions about this portal, contact the Nebraska State Bar Association at (402) 475-7091.