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...

The past few years have been a whirlwind for ethics lawyers. From the national news to the changing landscape of the legal profession, lawyers have faced new and challenging issues in a variety of contexts. This riveting CLE program will cover the...

This CLE program will help you better understand cryptocurrency and the history behind such currency. Marshal Shichtman will discuss in layman’s terms, how virtual currency works, what it is, the legal and regulatory issues involved in digital token...

The availability of venture capital has given many young companies the financial and advisory support needed help them grow into major corporations, while sparing them from the scrutiny and disclosure requirements demanded in the public markets. Cou...

This CLE program will provide guidance on the challenges facing compliance professionals. Separation of compliance and business supervision roles is becoming much more difficult. Join FINRA staff and industry practitioners as they discuss how their...

This CLE program provides guidance on suspicious activity monitoring and investigations in AML (anti-money laundering). Panelists discuss how to establish and implement policies and procedures as well as obligations for firms. Attendees will gain an...

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...

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...

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...

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...

This CLE lecture will focus on the impact civility or the lack thereof has on everyday practice. From interactions with clients, opposing counsel, judges and courtroom staff, the rules of professional conduct require lawyers to act civilly. This lec...

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...

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...

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...

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...

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...