Securities Law Bundle - California CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 25 Credit Hours of CA CLE Lectures. All your mandated specialty hours including Elimination of Bias, Implicit Bias, Competence Issues, Civility, Technology and Ethics are included.

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25
Credit Hours
of CLE Lectures
Save $705
Only $495
Save $705
Courses priced individually at $1,200
  • 4.25 Ethics
  • 1 Implicit Bias
  • 1.25 Technology
  • 1 Wellness
  • 1 Competence Issues
  • 1.25 Civility
  • 1.25 Elimination Bias

Securities Law Bundle Includes:

  • $50

    Implicit Bias: “I’m Not Like You…Except That I Am”

    Implicit Bias Credits: 1

    This CLE program, presented by a Trial Lawyer, Mediator, and Life Coach, is designed for lawyers and will discuss the following topics: (1) Explore case studies to improve your understanding of bias in law; (2) Dovetail the elimination of bias and prejudice into that perceived need; and (3) Fac...

  • $50

    Hot Topics in Municipal Securities and Other Fixed Income

    General Credits: 1

    FINRA and MSRB staff discuss recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking, and common problems uncovered during Member Supervision and Market Regulation reviews. After attending thi...

  • $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:...

  • $50

    Navigating the Future: Embracing AI's Impact on the Legal Profession for Lawyers with a Strategic Mindset

    Technology Credits: 1.25

    It has been several months since the release of ChatGPT and its passage of the Uniform Bar Exam with flying colors. Experts everywhere are projecting how generative AI is going to replace many lawyers in the next few years. Is generative AI going to change the way lawyers do business? “Yes.” Wil...

  • $50

    No One Makes It Out Unscathed: The Effects of Trauma, Stress and Burnout On Our Lives

    Wellness Credits: 1

    Attorneys hopefully recognize that like many other professionals, their lives are filled to the brim with stress. It’s important to be proactive in dealing with it. The consequences of shrugging it off can be catastrophic - not only for them but for their family, staff and friends. And then the...

  • $50

    Virtual Isolation: Is Hyperconnectivity Helping or Harming the Legal Professional?

    Competence Issues Credits: 1

    If we stop to think about what we look at most during the day, the answer would probably not be our family or friends, nor our clients or colleagues. The most feasible option would be our mobile phone. Smartphones are now our companions for work, social, leisure and even family life. However, exces...

  • $50

    Practicing Law with Civility

    Civility Credits: 1.25

    This CLE lecture will focus on the impact civility or the lack thereof has on everyday practice. From interactions with clients, opposing counsel, judges and courtroom staff, the rules of professional conduct require lawyers to act civilly. This lecture will discuss the requirements of keeping clie...

  • $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

    Digital Communications and Social Media

    General Credits: 1

    In the rapidly developing world of digital marketing, how can firms stay in compliance? Can firms communicate relevant, meaningful information in the digital age? Attend this session to experience how industry and regulatory experts are grappling with these challenges. The panel covers current...

  • $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...

  • $50

    Investment Companies Current Topics

    General Credits: 1

    Join FINRA staff and industry panelists as they discuss topical advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. Panelists cover the compliance challenges associated with complex products such as single stock ETFs, crypto f...

  • $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...

  • $50

    Fintech Firms: Communications Compliance Topics

    General Credits: 1

    Join FINRA staff and industry panelists as they share insights on challenges and effective practices related to communications compliance for Fintech focused firms. The panel covers topical issues such as digital engagement practices, mobile applications, integrated product offerings, and crypto as...

  • $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...

  • $75

    Managing Your Client’s Series A Offering of Securities: A Step by Step Guide

    General Credits: 1.5

    A startup or early-stage company goes through a number of informal financing rounds involving company founders, friends and family members, and local angel investors. But if the company’s business plan is successful, it will be ready for its first round of venture capital, known as the “Series A R...

  • $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

    Social Media and the Rise of the Finfluencers

    General Credits: 1

    Human behavior has evolved as a result of the pandemic. For the financial services industry, the rapid acceleration of digital adoption has dramatically changed the way we engage with each other and our clients. Join FINRA staff and industry panelists as they discuss how social media and social...

  • $50

    The Ethics and Art of Settlement at Mediation

    Ethics Credits: 1

    This course will focus on the best way for attorneys to benefit from mediation, including presentation, psychology, strategy and the moves that help to get the best results. The course will examine the mediation process and how ethical behavior can ultimately lead to success. The presenter will...

  • $50

    Handling Current Legal Ethical Issues

    Ethics Credits: 1.25

    This CLE course will address practical ethical issues that lawyers face as they work remotely during a pandemic, as well as when discussing personal legal matters with work colleagues. We will also examine recent examples of attorneys acting as “over”-zealous advocates for their clients, and some r...

  • $100

    Legal Ethics: Dos and Don’ts for Attorney Advertising

    Ethics Credits: 2

    This CLE program will discuss the ethics rules as they relate to the oft-confusing issues of lawyer marketing, advertising and solicitation. What’s the right balance of advertising, social media, video and client engagement to grow your practice. What’s the difference between and advertisement...

  • $50

    Diversity and Race in Jury Selection

    Elimination Bias Credits: 1.25

    This course will take a historical look at diversity and race in jury selection and how “all-white juries” have led to infamous miscarriages of justice throughout the years. We will also examine how the Supreme Court has addressed racial discrimination in jury selection from the 1880s to presen...

25
Credit Hours
of CLE Lectures

CLE Your Way, Anywhere!
DVDs, Audio CDs, USB Stick, Online & iOS/Android App included at no extra charge!

Course Media Options
Only $495
Save $705
Courses priced individually at $1,200

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