Securities Law Bundle - Connecticut CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of CT CLE Lectures - Including 10 General Credits and 2.0 Ethics Credits.

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12
Credit Hours
of CLE Lectures
Save $305
Only $295
Save $305
Courses priced individually at $600
  • Includes 2 Ethics

Securities Law Bundle Includes:

  • $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

    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

    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...

  • $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

    Advertising Compliance: Fundamentals of FINRA Rule 2210

    General Credits: 1

    This CLE course is designed for attorneys who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervi...

  • $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

    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...

  • $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

    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

    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

    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...

  • $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...

12
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 $295
Save $305
Courses priced individually at $600

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