Securities Law Bundle Includes:

• $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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• $50

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

  General Credits: 1.1

  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

  Handling Current Legal Ethical Issues

  Ethics Credits: 1.3

  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

  What Happens To Your Practice If You Die Or Become Disabled

  Ethics Credits: 1.2

  What happens to your practice and your family if you die or become disabled? This is a practical CLE program that focuses on the preventive steps to ethically comply with your obligations to your clients, protect your family and to recover the value of your practice. This seminar is designed...

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• $50

  Bitcoin: Time For Lawyers To Take A Byte

  General Credits: 1.1

  The economic impact of digital evolution is a reality of our daily lives. Over the past decade, the “Internet of Things” replaced the “Internet of Information.” Today and since the emergence of blockchain technology, we are seeing a sweeping wave of the “Internet of Value” gradually taking over...

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• $100

  Setting Up Your Securities Clients For Success

  General Credits: 2

  Often times, legal counsel preparing Exempt Offering Documents for their clients evaluates them primarily on legal grounds, rather than on grounds associated with how the Offerings could be best articulated from an underwriting standpoint. This course, and these educational materials, are desig...

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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

  Building a Successful Solo Mergers and Acquisitions Practice

  General Credits: 1.3

  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

  Communications Compliance: Current Developments

  General Credits: 1

  This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends. Panelists will als...

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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

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

  General Credits: 1.1

  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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• $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

  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

  Considerations and Practices for Supervising Independent Contractors

  General Credits: 1

  This CLE program addresses common challenges in supervising independent contractors. The session offers examples and suggestions for firms to use in their everyday supervision and compliance efforts. The panel also discusses existing rules and related guidance and shares effective industry prac...

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• $50

  Hot Topics in FinTech

  General Credits: 1

  Join FINRA staff and industry practitioners as they discuss the growing area of FinTech (Financial Technology). The session includes a discussion on new and innovative ways firms are integrating fintech into their business models and the importance of a strong compliance structure to address regula...

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• $50

  Consolidated Audit Trail

  General Credits: 1

  During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including firm obligations, deadlines and resources. After attending this session, you will be able to: Discuss upcoming key dates How to prepare and resources available

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• $50

  Gamification, Mobile Apps and Digital Engagement

  General Credits: 1

  Panelists share insights into the developing world of digital engagement practices, including gamification, in broker dealers’ mobile apps, marketing, and online platforms. Attend this session to hear how compliance and regulatory experts are responding to the rapidly developing use of data an...

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• $50

  Restricted Firm Obligations: What You Need to Know

  General Credits: 1

  Join FINRA staff as they discuss Rule 4111 (Restricted Firm Obligations). During the session, panelists review the new obligation and criteria for identification. After attending this session, you will be able to: Review new obligations Identify controls, procedures, and processes that member...

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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

  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

  Remote Supervision

  General Credits: 1

  Join FINRA staff and industry panelists as they discuss what they have learned from working remotely. During the session, panelists discuss effective controls, procedures, and processes that member firms are incorporating to address supervision in a remote work environment. After attending this...

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• $50

  Senior and At-Risk Investors

  General Credits: 1

  Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected. After attending this session, you will be able to: Review...

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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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• $50

  Vendor Management: Due Diligence and Oversight

  General Credits: 1

  During this session FINRA staff and industry practitioners walk through various important considerations when choosing new vendors. Panelists discuss finding a technical solution that is a good fit for your firm, tips on performing an efficient due diligence review, contract issues, and advice on i...

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• $50

  No One Makes It Out Unscathed: The Effects of Trauma, Stress and Burnout On Our Lives

  General Credits: 1

  Attorneys hopefully recognize that like many other professionals, their lives are filled to the brim with stress. It’s important to be proactive in dealing with it. The consequences of shrugging it off can be catastrophic - not only for them but for their family, staff and friends. And then the...

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• $50

  Overview of FinTech Regulation and Compliance

  General Credits: 1.1

  A very high-level overview of some of the issues and challenges facing attorneys representing companies that are utilizing new technology to improve and automate the delivery of financial services (FinTech). Overview of the core principles and regulatory regimes in the United States governing k...

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• $50

  Home is Where The License Is: Ethical Considerations for Lawyer Relocation During and After the Pandemic

  Ethics Credits: 1.2

  Many lawyers relocated during the pandemic, either to escape perceived risk or simply because they could due to remote working. This CLE program will assess the legal and ethical ramifications of relocation to states beyond where one is licensed, addressing both authorization to practice, juri...

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• $50

  Regulation Best Interest and Form CRS: Recent Observations and What to Expect

  General Credits: 1

  Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying with the rules. Panelists share what they are seei...

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• $50

  Gamification, Social Media, and Digital Communications Perspectives

  General Credits: 1

  Attend this session to hear how regulatory experts are evaluating the rapidly changing world of digital communications to capture investors’ attention and influence their behavior. The panel discusses risks and benefits of gamification features on broker-dealers’ apps and websites, and also con...

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• $50

  Remote Supervision: Compliance Challenges in a Remote Working World

  General Credits: 1

  The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all staff to remote work environments and implement remote supervisory practices. Join FINRA staff and industry panelists as they discuss challen...

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• $50

  FINRA’s Examination and Risk Monitoring Program

  General Credits: 1

  Attend this session to learn about the firm grouping structure and lessons learned during implementation. During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what firms can expect going forward. After attending...

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• $75

  Understanding Asset Protection

  General Credits: 1.6

  Learn what tools are available to more effectively shield yourself from the effects of any lawsuit by protecting your personal wealth. The panel will discuss the following Topics: History of asset protection in the United States and abroad Understanding which assets are/are not exempt under s...

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