Florida CLE - Securities Law Courses
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Securities Litigation & Regulatory Enforcement Conference: Insights for the Financial Services Attorney
Join NYCLA’s Securities & Exchanges Committee, New Jersey State Bar Association’s Securities Litigation and Regulatory Enforcement Committee and NYCLA’s Futures & Derivatives Committee for a riveting discussion that will focus on the following topics: New Regulatory Landscape Reform, Proceedings, Investigations Developments in White Collar Matters & Insider Trading Cases in the wake of Newman Commodities, Futures and Derivatives – The Increasing Regulatory Reach Raising Capital & New... More Info
$2759Total Credits2.5 EthicsSelf-Report -
Lawyers and Accountants– An Interdisciplinary Dialogue: Issues and Understandings
When lawyers and accountants are involved in overlapping engagements and the legal and accounting issues become intertwined, misunderstandings about the roles and responsibilities of each professional can arise – ultimately leading to serious liability issues. Join our panelists from both the legal and accounting worlds for a full day program focusing on such issues as the role of the accounting expert and consultant, mixed accounting and legal issues (e.g., Going Concern Qualification... More Info
$2257.5Total Credits3 EthicsSelf-Report -
Current Issues in Securities Regulation: Part 2
The issue of regulation, risk, compliance and enforcement impact every aspect of business. This CLE course focuses specifically on those related to the newly restructured Enforcement department, which deals with examination and surveillance groups across FINRA. The course will explain the key principles that guide outcomes. Implementing effective risk-based inspection programs and how and what tools to use to prepare for such inspections, as well as monitoring suspicious activity, identifying AM... More Info
$2507.5General CreditsSelf-Report -
Current Issues in Securities Regulation: Part 1
A comprehensive CLE course on a wide variety of issues related to FINRA regulations, its process, eligibility and compliance. The course will cover the rules governing alternative investments, REITS and private placements as well as the due diligence and industry practices when recommending specific securities. Common deficiencies noted during FINRA cycle examinations of institutional firms, and issues that result in a cautionary letter, facing compliance professionals, taking corrective action... More Info
$2507.5General CreditsSelf-Report -
What Lawyers Need to Know About Cryptocurrency & Blockchain
This CLE program will explore the rapidly evolving hype and reality of blockchain technology, including recent legal developments and how to advise your clients. The following topics will be covered: data security, privacy, intellectual property and ownership, monetization of data, regulation, product liability, automated contracts, IoT advocacy, application program interfaces and ethical issues involved in data collection and sharing. Highlights of the Program include: The Internet of Th... More Info
$1503General CreditsSelf-Report -
Purchase Or Sale Of A Business, Or Part Of A Business: Documents Boot Camp
This CLE program will drill down into the many documents that an attorney often needs to prepare or review in connection with the purchase or sale of an entire business or of an ownership interest in a business. This will include the main documents which are usually one of: (1) Asset Purchase Agreements, (2) Stock Purchase Agreements or (3) Membership Interest Purchase Agreements and the circumstance when each type of main Agreement will be employed. We will also explore the many “side... More Info
$1503General CreditsSelf-Report -
Governance and Ethics Update: The Increased Focus on Director Responsibilities
Join our expert panel as it shares case studies regarding the increased focus on, and the evolving nature of, director responsibilities. The panelists will also discuss how modified governance and ethics practices may significantly alter director exposure. Topics include: Current Governance and Ethics Examples Thought Leadership: Evolving Governance and Ethics Practices Case Studies: Governance and Ethics Issues More Info
$1503Total Credits1.5 EthicsSelf-Report -
Collateralized Debt Obligations and Credit Default Swaps: A Guide for Lawyers
Collateralized Debt Obligations (CDOs) and Credit Default Swaps (CDS) have played and continue to play prominent roles in the global capital markets. What's the difference between a CDO and a CLO? What are TruPs CDOs? And why are they so controversial? Cut through the headlines and get a real understanding of CDOs and CDSs, how they are structured and the litigation landscape regarding these investments today. This informative CLE course, presented by New York attorney and CDO and... More Info
$1253General CreditsSelf-Report -
The Significance of Recent Developments in Delaware Corporate Governance Law and What Practitioners Need to Know
Panel 1: Important Recent Cases and Upcoming Issues Gregory Markel, Cadwalader, Wickersham & Taft LLP, Chairman of the Center, will moderate an “easy chair” discussion between Myron Steele, former Chief Justice of the Delaware Supreme Court, and Jack Jacobs, former Justice of the Delaware Supreme Court. They will discuss important recent cases and upcoming issues, with a focus on the implications of the decisions and what significant issues are likely to come up in the next year. Pan... More Info
$1252.5General CreditsSelf-Report -
Special Board Committees
Panel 1: Special Committees for Investigations and Litigation The panel will discuss the roles of special committees in investigations and litigation; defining the scope and delegation of authority; demands on boards, conflicts, independence; extent of inquiry; legal standard for adequacy of investigation; reports to the board, special committee reports to boards—written or oral; and waiver of privilege. Panel 2: Special Committees for Evaluating Transactions Our panelists... More Info
$1252.5Total Credits1 EthicsSelf-Report