Securities Law Bundle w/Live Webinars - Alabama CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle w/Live Webinars. This Bundle contains 6 hours of AL approved on-demand courses including 1 hour of ethics and an additional 6 credits of Live Interactive Webinar classes that can be used for any of the upcoming events on our webinar calendar.

CLE Courses Available Online & iOS/Android App and with Live Webinars!

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12
Credit Hours
of CLE Lectures
Save $305
Only $295
Save $305
Courses priced individually at $600

Securities Law Bundle w/Live Webinars Includes:

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  • $50

    Form CRS: Practical Considerations for Attorneys

    General Credits: 1

    Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different sta...

  • $50

    Hot Topics in FinTech

    General Credits: 1

    Join FINRA staff and industry practitioners as they discuss the growing area of FinTech (Financial Technology). The session includes a discussion on new and innovative ways firms are integrating fintech into their business models and the importance of a strong compliance structure to address regula...

  • $50

    Legal Ethics: Reasonableness of Fees

    Ethics Credits: 1

    Someone at your firm is in charge of making sure that both legal professionals and other employees comply with the ethics rules. Some firms have ethics committees that do this work. Solos, of course, wear every hat under the sun, including the "ethics guru" hat. In small firms, too, many of you...

  • $50

    Challenges Facing Firms in Monitoring AML and Protecting Against Fraudulent Activities

    General Credits: 1

    This CLE program reviews challenges facing firms in monitoring and protecting against fraudulent activities. Join FINRA staff and industry panelists as they provide examples of effective controls their firms have put into place to address AML risks. After attending this session, you will be abl...

  • $50

    Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities

    General Credits: 1

    This panel will discuss common content standards between FINRA Rule 2210 and MSRB Rule G-21 and describe some key differences. Attendees will hear tips on creating compliant municipal securities communications and considerations for more complex debt instruments. Attendees will gain knowledge of ho...

  • $50

    Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws

    General Credits: 1

    This CLE program covers the basics of the intersection between “cryptocurrencies” and the federal securities and commodities laws. The title of this program comes from Samuel 2, 1:19. Why this title is apt should be obvious to anyone knowing of recent events in the world of crypto. The program d...

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12
Credit Hours
of CLE Lectures

CLE Your Way, Anywhere!
Online & iOS/Android App included at no extra charge!

Course Media Options
Only $295
Save $305
Courses priced individually at $600

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For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

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