Florida CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Florida. Please make your selection below of Florida CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
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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 -
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 -
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 -
What Attorneys Need to Know About Capital Markets and Ratings
Ever wonder about what a rating means or why ratings are so important in today's global economy? What role did ratings play in the run up to the Credit Crisis? This informative CLE course, presented by New York attorney and ratings expert Jack Chen, explains everything a lawyer should know about ratings and rating agencies. The course examines the regulatory framework and explains who uses ratings and why they are here to stay. Any practitioner who works with debt securities, derivatives or... More Info
$751.5General CreditsSelf-Report -
Introduction to Structured Finance
RMBS, CMBS, CDOs, SIVs can seem like alphabet soup yet they play an integral part of the global economy and capital markets. Some will even allege that these sophisticated financial products were responsible for the credit crisis that nearly destroyed the global economy. What are these structured products, how do they work and who created them? This informative CLE course, presented by New York attorney and subject matter expert Jack Chen, explains the essential characteristics of structu... More Info
$751.5General 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 -
Cyan, Inc. v. Beaver Country Employees Retirement Fund: What it Means; What We Can Expect
In a much-awaited decision on which courts and counsel have reached different conclusions for years, the United States Supreme Court held that the Securities Litigation Uniform Standards Act (“SLUSA”) does not strip state courts of jurisdiction over class action law suits brought exclusively under the Securities Act of 1933 (the “1933 Act”). The Supreme Court additionally held that SLUSA does not permit removal of class action claims brought solely under the 1933 Act from state to federal cour... More Info
$501.5General CreditsSelf-Report -
Trends in Securities Litigation
This CLE program will cover important trends in the filing of securities class actions, including the surge in the number of class actions filed. Sasha Aganin of Cornerstone Research, a leader in developing securities class action statistics, will provide data on the overall number of filings, the types of cases (including separate analysis of merger and non-merger cases), the industries most frequently targeted, the choice of Federal versus State Court, the districts and circuits pre... More Info
$1002General 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 -
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