Securities Law Bundle Includes:

• $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...

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• $50

  Variable Products & Retirement Planning

  General Credits: 1

  Join FINRA staff and industry practitioners as they discuss variable and retirement planning productions. The panelists also explore frequently asked questions and discuss regulatory challenges. Topics Discussed: Summarize how to create a variable product communication with respect to content a...

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• $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...

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• $75

  Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO

  General Credits: 1.75

  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...

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• $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...

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• $50

  Staying Safe and Sound: Maintaining a Realistic Work/Life Balance in Uncertain Times

  Mental Health/Abuse Credits: 1

  We know that you may still be getting bombarded with messages about Covid related issues, whether that be on television, social media, or in your work and community networks. In uncertain times like these, anxiety, stress, fear, and negative thoughts can easily take control. You may still be worr...

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• $50

  Market Structure: What Factors Are Driving Changes

  General Credits: 1

  During this session, FINRA staff and industry practitioners discuss current developments and future trends in the industry, including best execution guidance and payment for order flow issues. After attending this session, you will be able to: Understand Best Execution guidance Discuss effective...

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• $50

  In the Beginning... and Before: Ethical Considerations at the Outset of Representation

  Ethics Credits: 1

  This is a two part lecture discussing the professional responsibilities of an attorney prior to representation. The first part of the lecture will discuss solicitation and barratry including ambulance chasing, rules of professional conduct, consequences, and enforcement. The second part wi...

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• $75

  Mediation Ethics for Mediators and Mediation Advocates

  Ethics Credits: 1.5

  This CLE course is designed for mediation advocates and third-party neutrals to fully inform and assist in understanding and working with the ethical rules that apply in mediation. A review of the Model Standards promulgated jointly and recommended by the ABA (American Bar Association), the AAA...

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• $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...

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• $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...

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• $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...

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• $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...

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• $75

  Cryptomorphing The Legal Profession: Musings From A Stacker In The Rye

  General Credits: 1.5

  The goal of this presentation is to expose lawyers to the rabbit hole of blockchain technology and cryptocurrency, and the effects and potential effects on the legal profession. We will discuss topics ranging from the acceptance of cryptocurrency as payment for legal services to the impact of b...

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• $50

  Diversity and Race in Jury Selection

  Diversity/Inclusion 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...

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• $50

  To Prosecute or Not To Prosecute? Analyzing Ethical Rules Telling Prosecutors When and How They Can Do Their Job

  Ethics Credits: 1

  Before the dramatic closing argument or daring cross examination, prosecutor offices must carefully assess whether the case may be prosecuted and precisely how. For prosecutors, these rules provide both limitations for whether cases can be prosecuted at all, and guidelines for how they should be p...

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• $50

  Building a Successful Solo Mergers and Acquisitions Practice

  General Credits: 1.25

  This CLE program will focus on the tools needed to add a successful mergers and acquisition practice in your firm.. Take a step-by-step look at key issues including: what is an M&A practice, flowcharts, checklists, practice tips, software suggestions and client management hints.

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• $50

  Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards

  General Credits: 1

  Cybersecurity compliance concerns have emerged as a forefront issue for both large and small enterprises. Revisions of three important standards or requirements were published recently and will have far reaching cybersecurity compliance implications. The National Institute of Standards and Tec...

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• $50

  Brokers With a Significant History of Misconduct

  General Credits: 1

  This CLE program will discuss the new rules concerning brokers with significant history of misconduct. Panelists review the implications of retaining or hiring brokers with such a history. After attending this session, you will be able to: Understand changes to rule 9200 and 9556 Discuss height...

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• $50

  Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings

  General Credits: 1

  There is much confusion regarding the many cryptocurrencies available and even more about blockchain technology; particularly in light of recent market upheavals. Global observers are keen to determine whether cryptocurrencies and the blockchain technology are taking us in a new currency direc...

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• $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...

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• $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...

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• $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:...

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• $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...

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• $50

  Exempt Offerings

  General Credits: 1

  This CLE program focuses on industry and regulatory developments related to Reg D and Reg A+ offerings. During the session, panelists discuss common concerns and recent regulatory findings. Speakers provide practical information and effective practices for firms offering these products to retail i...

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• $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...

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• $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...

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