It is important for all lawyers to stay abreast of ethical rules and considerations, but it can be especially tricky for small firm and solo practitioners who are in the trenches with client contact while also juggling firm management, business deve...

“Virtual currency,” “blockchain,” “smart contracts” – these words and phrases seem to be everywhere these days but do people really know what they mean. This CLE course will explain, in user-friendly terms, what virtual currency is, how it works a...

Much of an attorney’s job is about getting the legal system to work for them, but there are still some lines that can’t be crossed. This CLE course will explain those lines and provide a comprehensive understanding of the Rules of Professional Condu...

This CLE program provides guidance on identifying and responding to issues and concerns of clients who are or will soon be seniors. Join representatives from regulatory agencies and firms to discuss rules and laws promulgated to assist firms in prot...

This CLE program provides guidance on common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter. Industry practitioners discuss their experience during examinations and taking cor...

This CLE program will include a discussion of common deficiencies noted during FINRA cycle examinations. The program will also provide guidance on taking corrective action and updating compliance procedures and practices based on lessons learned fr...

This CLE program provides guidance on implementing an effective risk-based branch office inspection program. After attending this session, you will be able to: Understand FINRA’s Member Regulation Department’s approach to executing risk-based cyc...

This CLE program provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an...

This CLE program provides updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income com...

In the era of #MeToo and #TimesUp, all individuals, organizations and professions need to evaluate their understanding of and policies towards issues of gender discrimination and gender diversity. The legal profession is no exception. This timely CL...