Securities Law Bundle Includes:

• $50

  Legal Ethics and the Mediation Process

  Ethics Credits: 1

  The use of Alternative Dispute Resolution (ADR), particularly in the area of mediation, has grown dramatically in the past ten years. However, it is a process that many counsel lack familiarity with. Judge Scheinkman will discuss the importance of ethical considerations that relate to settleme...

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• $50

  To Prosecute or Not To Prosecute? Analyzing Ethical Rules Telling Prosecutors When and How They Can Do Their Job

  Ethics Credits: 1

  Before the dramatic closing argument or daring cross examination, prosecutor offices must carefully assess whether the case may be prosecuted and precisely how. For prosecutors, these rules provide both limitations for whether cases can be prosecuted at all, and guidelines for how they should be p...

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• $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...

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• $75

  Current Communications with the Public Regulatory Issues

  General Credits: 1.5

  Join FINRA staff and industry panelists for an in-depth conversation on current advertising regulatory issues, including the new Investment Advisers Act Marketing Rule. Topics Discussed: Learn about recent communications rule changes and proposals. Understand how the new IA Marketing Rule will...

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• $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...

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• $50

  Brokers With a Significant History of Misconduct

  General Credits: 1

  This CLE program will discuss the new rules concerning brokers with significant history of misconduct. Panelists review the implications of retaining or hiring brokers with such a history. After attending this session, you will be able to: Understand changes to rule 9200 and 9556 Discuss height...

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• $50

  Senior and At-Risk Investors

  General Credits: 1

  Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected. After attending this session, you will be able to: Review...

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• $50

  Gamification, Mobile Apps and Digital Engagement

  General Credits: 1

  Panelists share insights into the developing world of digital engagement practices, including gamification, in broker dealers’ mobile apps, marketing, and online platforms. Attend this session to hear how compliance and regulatory experts are responding to the rapidly developing use of data an...

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• $50

  Conflicts of Interest in Capital Markets and Investment Banking

  General Credits: 1

  This CLE program will discuss helpful tips and tools for managing conflicts of interest in capital markets and investment banking firms. Panelists will discuss practices that raise conflict of interest concerns and how to remedy these issues. After attending this session, you will be able to:...

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• $75

  Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO

  General Credits: 1.5

  From due diligence to closing there are traps and pitfalls that can be anticipated. Attend this CLE course and learn from the lawyers and bankers what they confront and worry about during the marketing and distribution of initial public offerings. The panelists will provide real life examples...

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• $50

  Market Structure: What Factors Are Driving Changes

  General Credits: 1

  During this session, FINRA staff and industry practitioners discuss current developments and future trends in the industry, including best execution guidance and payment for order flow issues. After attending this session, you will be able to: Understand Best Execution guidance Discuss effective...

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• $50

  Cyber Security and Cyber Breach: What Lawyers and Their Law Firms Need to Know Now

  General Credits: 1

  This CLE program will discuss cyber security, the consequences of a cyber breach, including ethical considerations, and cyber insurance. In the U.S., we are faced with 50 state laws on data privacy and security. If your business holds personal information from a resident of a particular state, what...

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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...

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• $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...

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