Securities Law Bundle Includes:

• $50

  Ethical Issues in Representing Clients with Diminished Capacity

  Ethics Credits: 1

  This CLE course will cover some of the legal rules applicable to attorneys working with clients who experience diminished capacity and the consequent potential for fraud and abuse against a client with diminished capacity. In this course, attendees will learn how to identify a client who has dimini...

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• $50

  Ethics in Modern Day Legal Practice: The Current Hot Ethical Topics Found in Client Grievances and Malpractice Suits

  Ethics Credits: 1

  This CLE course focuses on the latest trends in ethics found in modern day legal practice. While focusing on the rules that govern attorney conduct, the course explores application of the rules to the ever changing landscape of practice. Specific addressment includes preservation of electronic data...

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• $50

  Being a DEIA Agent of Change in The Legal Workplace and Beyond

  Diversity/Inclusion Credits: 1

  Being a DEIA Agent of Change in the Legal Workplace and Beyond is an introductory course to Diversity, Equity, Inclusion and Accessibility (DEIA) concepts and initiatives from a legal perspective. The course begins by discussing the definition of DEIA and related concepts. The course also provi...

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• $50

  Ask FINRA Senior Staff

  General Credits: 1

  During this CLE program, FINRA senior staff provide updates on key regulatory issues. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics.

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• $50

  Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored

  General Credits: 1

  This CLE course provides an in-depth overview of the US merger control process, antitrust agency priorities, forthcoming revisions to the US merger guidelines, and highlights of recent merger challenges. The course is designed to give attorneys a comprehensive understanding of the current state of...

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• $50

  Leveraging Regulatory Technology for Your Firm

  General Credits: 1

  During this CLE program, panelists discuss how RegTech is impacting the securities industry as well as related benefits, risks and regulatory considerations. The session also covers different RegTech tools available to enhance compliance efforts, such as FINRA's new Machine Readable Rulebook as we...

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• $50

  ChatGPT and Related Products: The Legal Ramifications

  General Credits: 1

  This CLE presentation is intended to help practicing attorneys better understand the legal consequences of current-day (ex. ChatGPT) artificial intelligence (AI) products. This begins with a discussion of current AI products, their operation, and fundamentally what they are and are not. This fa...

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• $50

  Why Lawyers Need to Bill Strategically in an Age of Legal Artificial Intelligence

  General Credits: 1

  Artificial intelligence, in terms of developments like ChatGPT, is new to a lot of people, but the idea of using computers to "outsource" certain work -- such as repetitive work -- away from lawyers has been around for a while. Because computers don't get tired, bored, hungry, or distracted, they'...

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• $50

  Pre-Trial Preparation for Success at Trial

  General Credits: 1

  This CLE lecture is offered to assist the trial attorney in how to prepare for trial. It will provide you with tried and tested methods to gather information and store it in a way that will permit you to utilize it in the courtroom to aid you in securing a jury verdict in favor of your client.

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• $50

  The Evolution of Branch Office Inspections

  General Credits: 1

  Join us as we delve into a thought-provoking exploration of the invaluable lessons acquired during the transformative journey towards remote branch inspections. Our esteemed panelists will engage in an enlightening discussion, unveiling a wealth of knowledge encompassing a range of crucial topics....

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• $50

  Drafting the Bullet Proof Civil RICO Complaint

  General Credits: 1

  Civil RICO Complaints are very powerful weapons when prosecuting civil actions in Federal Court where the defendants have engaged in criminal or quasi-criminal conduct. However, many Federal judges are wary of Civil RICO cases and set up automatic check-lists or automatically set up OSC hearings to...

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• $50

  Current Trends and Threats in Financial Crimes

  General Credits: 1

  In this CLE session, Deputy Director Abbate and Under Secretary Nelson discuss the latest developments in financial crimes and illicit finance risk including new and emerging threats related to money laundering, fraud, securities fraud, cyber-crime, digital assets and sanctions.

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• $50

  The Inside Scoop on Insider Threats and Cybersecurity

  General Credits: 1

  This highly informative CLE session will delve into the multifaceted nature of insider and related cyber threats. In an increasingly interconnected digital landscape, it is vital for organizations to comprehend the compounding risks posed by these threats, understand where they can manifest, and pr...

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• $50

  Navigating the SEC and CFTC Whistleblowing Programs

  General Credits: 1

  This CLE course provides an overview of the CFTC, SEC, and IRS whistleblower programs, with a focus on the basics of eligibility, anonymity, and the whistleblowing process. The course will cover the analysis of potential whistleblower claims and the necessary steps for filing a whistleblower claim...

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• $50

  Private Placements: The Latest Regulatory Developments and Compliance Considerations

  General Credits: 1

  Join panelists as they perform a deep dive into private placement regulatory developments including regulatory notice 23-XX as well as compliance obligations and best practices related to Reg BI, sales materials, due diligence, conflicts of interest and more. This session will discuss: Review r...

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• $50

  Market Regulation and Transparency Services Priorities: What You Need to Know

  General Credits: 1

  During this CLE session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs. This session will discuss: Discuss updates on market regulation and transparency priorities, including current initiatives and...

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• $50

  Financial Responsibility Rules and Relevant Touchpoints

  General Credits: 1

  In this informative CLE course, panelists will discuss topics involving SEC and FINRA financial responsibility rules, including regulatory obligations of introducing, intermediary, carrying and clearing firms under FINRA Rule 4311; SEA Rule 17a-4; and other topics including liquidity and fully-paid...

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• $50

  The Firm Perspective on Monitoring and Protecting Against Financial Crimes

  General Credits: 1

  Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering. This session will discuss: Effective pract...

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• $50

  Redefining Communications Compliance for the Digital Age

  General Credits: 1

  As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communicati...

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• $50

  Current Issues Under Regulation Best Interest and Form CRS

  General Credits: 1

  In an ongoing dialogue, regulators and industry practitioners come together to delve into a wide array of current topics and delve deep into the valuable lessons learned through their experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). This collaborative...

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• $50

  Market Structure: Current Developments and Future Trends

  General Credits: 1

  During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities. This session will discuss: Discuss current developments and future trends in...

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• $50

  Hot Topics in Municipal Securities and Other Fixed Income

  General Credits: 1

  This CLE program covers an assortment of key considerations surrounding fixed income securities including exam priorities, common findings and enforcement actions, fixed-income rulemaking, and an update on SEC Rule 15c2-11. This CLE program will discuss: Review of recent enforcement actions rela...

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• $75

  The Case Against Tipper X

  General Credits: 1.5

  lmagine the following: lt is the morning of a normal workday for you and millions of others who live in New York City. You go to the gym for a workout and run some errands before heading to the office. Unexpectedly, two FBI agents approach you on the sidewalk, flash their badges - in public view - a...

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• $75

  Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

  General Credits: 1.5

  The US federal banking regulators have jointly proposed extensive revisions to the regulatory capital requirements for [midsize and] larger US banking organizations. The revisions are lengthy and would change the requirements for credit, market, and operational risk. Some of the revisions are l...

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• $50

  Capital Formation: Current Regulatory Landscape and Challenges

  General Credits: 1

  Attend this session to learn more about the regulatory landscape, potential challenges, and resources for firms as it relates to capital formation. This CLE program will discuss: Discuss current regulatory landscape Discuss challenges and obstacles from firm perspective Resources for firms

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• $50

  Compliance and Legal Trends

  General Credits: 1

  Join industry leaders as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists share insights on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues.

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• $50

  Virtual Isolation: Is Hyperconnectivity Helping or Harming the Legal Professional?

  Mental Health/Abuse Credits: 1

  If we stop to think about what we look at most during the day, the answer would probably not be our family or friends, nor our clients or colleagues. The most feasible option would be our mobile phone. Smartphones are now our companions for work, social, leisure and even family life. However, exces...

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• $50

  Analyzing the Right and Ethical Way to Prepare Witnesses in Criminal Cases

  Ethics Credits: 1

  Both prosecutors and criminal defense lawyers have professional and ethical obligations to zealously represent their clients. However, they must also comply with rules of professional conduct address candor and honesty with the tribunal. How can these lawyers serve both of these masters when it c...

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• $50

  Ethics in Debt Collection Law

  Ethics Credits: 1

  The Fair Debt Collection Practices Act (FDCPA) can subject lawyers to ethical and liability traps for those collecting and prosecuting consumer debts. This CLE course will break down the particular and common rules of professional responsibility that also cause liability under the FDCPA. The...

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