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...

This CLE session provides an overview of the newly restructured Enforcement department, including how the department works with examination and surveillance groups across FINRA to develop Enforcement matters. The session will highlight some of the...

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...

This CLE program provides updates on market regulation priorities, including current initiatives and rulemaking. This session focuses on market regulation priorities and sweeps. Panelists will share thoughts on equities, options and fixed income com...

This CLE program will provide guidance on effective practices for monitoring outside business activities and supervising private securities transactions. FINRA panelists discuss common OBA deficiencies found during examinations. Panelists share effe...

This CLE program provides guidance on implementing an effective risk-based branch office inspection program. After attending this session, you will be able to: Understand FINRA’s Member Regulation Department’s approach to executing risk-based cyc...

This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better...

Effective August 23, 2019 the MSRB (Municipal Securities Rulemaking Board) substantially amended its rules for municipal dealers’ advertising and adopted a brand new standard for municipal advisors’ advertising. The MSRB also adopted formal guidanc...

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...

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...

This CLE program provides guidance on common deficiencies noted during FINRA examinations of medium and large firms.. Industry practitioners discuss taking proactive compliance measures and corrective action in response to examination deficiencies a...

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...

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...

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...

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...

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...

This CLE program is designed to give the trial lawyer/practitioner a real life sense of how to address rules of professionalism/ethics and civility in high stakes litigation, when your opponent’s zealous advocacy of his/her client’s interests can l...