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Securities Law Bundle - Illinois CLE

30 Total Credits
w/ 4.75 Ethics & 1 Mental Health/Sub Abuse & 1 Diversity/Inclusion
Bundle Price:$495 (Save $1,005!)

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 30 Credit Hours of IL Approved CLE Lectures - satisfying all your professional responsibility requirements including 4 hours of ethics, one hour of diversity/inclusion and one hour of mental health/substance abuse.

This CLE program examines some of the common mistakes made by new attorneys and explores some of the best ways to deal with them once they've occurred. Using the framework of the Illinois Rules of Professional Conduct, we will discuss common issues y...

Ethics Credits:1.5

This CLE program will highlight core regulations and best practices related to the supervision of institutional business activities. After attending this session, you will be able to understand the types of supervisory controls firms can implement t...

General Credits:1

This CLE program will address advertising sales practice issues applicable to general brokerage firms and their registered representatives. FINRA staff and industry practitioners will discuss advertising compliance and sales practice issues app...

General Credits:1

Effective corporate governance and oversight is critical for any corporation to mitigate the possibility of governmental prosecutions and enforcement actions, but what exactly does this term mean and what does it require? This presentation will atte...

General Credits:1.25

This CLE program will discuss recent rule changes made in response to the FAIR Act, recent regulatory issues raised by communications about digital assets and customer transaction accounts, a summary of Regulation Best Interest, and advertising issu...

General Credits:1

Many lawyers are unfamiliar with the nuances of computer technology and data security essential to comply with 21st century ethics rules and our digital world. There are many hidden dangers in frequently used tools and platforms, including e-mail, s...

Ethics Credits:1.5

This CLE course is designed for compliance and marketing professionals 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 Wit...

General Credits:1

This CLE lecture will educate you about FINRA’s recently published Regulatory Notice 19-31, Disclosure Innovations in Advertising and Other Communications with the Public. Industry and FINRA experts share insights into how firms can facilitate sim...

General Credits:1

RegTech (Regulatory Technology) is more than a buzzword, it is a real movement that is already having an impact on regulatory compliance. This CLE lecture will give you insight on innovative technologies being used to develop more effective, effici...

General Credits:1

Business Arbitration and Business Mediation have a number of advantages relative to litigating commercial cases in court. There also are some disadvantages. Unless you’re intimately familiar with the Alternative Dispute Resolution processes, how wil...

General Credits:1.75

Applying ethics rules to real-world litigation can be daunting. Your clients want you to push the limits. Technology speeds everything up. And every time you open the Law Journal it's filled with malpractice cases, fee battles, pay equity claims, di...

Ethics Credits:1.75

Outside business activities (OBAs) and private securities transactions (PSTs) are regulatory and examination priorities, as they can both result in conflicts of interest that firms must understand and, as necessary, mitigate. Join industry practitio...

General Credits:1

This CLE program will assist attorneys to understand how mental health and substance abuse are impacting the legal profession and why. Learn how to recognize signs of impairment; Hear about how free, confidential assistance programs and early in...

MH/SA Credits:1

Join FINRA staff and industry representatives as they discuss how recent developments in financial technology (FinTech) are disrupting the securities industry. Topics include RegTech (regulatory technology), artificial intelligence, identity authent...

General Credits:1

This CLE program will focus on the rapidly changing world of digital marketing and communications. The panel will cover a variety of topics, which will illustrate how to stay on top of this constantly evolving area. Upon completion of this CLE, you...

General Credits:1

Join FINRA staff as they share helpful insight on identifying and assessing activity of registered representatives as high risk and how that intelligence can be more broadly used to assess risk across and within branch offices. Upon completion, you...

General Credits:1

This CLE focuses on FINRA and MSRB mark-up disclosure requirements. Panelists discuss securities covered by the rule, when mark-up disclosure requirements are triggered and recent guidance on how to calculate mark-ups based on prevailing market pric...

General Credits:1

This CLE will highlight some of the changes that Enforcement has recently implemented to its business process. Panelists will also discuss developments and trends in enforcement, including enforcement priorities and the principles that guide Enforc...

General Credits:1

This CLE program will focus on the key issues regarding FINRA’s suitability Rule 2111 and the SEC’s Proposed Regulation Best Interest Rule, including a review of their differences. Panelists provide practical advice on how firms and registered rep...

General Credits:1

Join FINRA staff and industry experts as they explain how a FINRA rule becomes a regulation. Panelists give an inside look into how the FINRA Retrospective Rule Review process works and how rules are selected for review. Panelists will also preview...

General Credits:1

This CLE will focus on the latest regulatory updates and due diligence obligations and effective practices in connection with sales of alternative investments; including: Private Placements, Online Distribution Platforms, Finders, Real Estate Inves...

General Credits:1

Join FINRA staff and industry experts as they review legal cases and enforcement actions impacting AML programs. Panelists will cover regulatory trends, potential vulnerabilities, and how you can address any pitfalls in your AML program. Upon com...

General Credits:1

“Virtual currency,” “blockchain,” “smart contracts” – these words and phrases seem to be everywhere these days but do people really know what they mean. This CLE course will explain, in user-friendly terms, what virtual currency is, how it works a...

General Credits:1.75

This CLE course will discuss various issues concerning payments made by or through banks. Covered are laws concerning check and wire transfer payments made by and to consumers and businesses. Discussed are claims concerning such payments made agains...

General Credits:2.5

Implicit bias is a phenomenon that is under increasing study. It is unconscious bias formed by associations in the brain that link two ideas together, and is formed by experiences, cultural affirmations, society, media and other influences. This C...

Div Credits:1
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