Securities Law Bundle Includes:

• $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

  Form CRS: Practical Considerations for Attorneys

  General Credits: 1

  Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different sta...

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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

  Fintech Firms: Communications Compliance Topics

  General Credits: 1

  Join FINRA staff and industry panelists as they share insights on challenges and effective practices related to communications compliance for Fintech focused firms. The panel covers topical issues such as digital engagement practices, mobile applications, integrated product offerings, and crypto as...

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• $75

  Mediation Ethics for Mediators and Mediation Advocates

  Ethics Credits: 1.5

  This CLE course is designed for mediation advocates and third-party neutrals to fully inform and assist in understanding and working with the ethical rules that apply in mediation. A review of the Model Standards promulgated jointly and recommended by the ABA (American Bar Association), the AAA...

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• $50

  Variable Products & Retirement Planning

  General Credits: 1

  Join FINRA staff and industry practitioners as they discuss variable and retirement planning productions. The panelists also explore frequently asked questions and discuss regulatory challenges. Topics Discussed: Summarize how to create a variable product communication with respect to content a...

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• $75

  Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO

  General Credits: 1.8

  From due diligence to closing there are traps and pitfalls that can be anticipated. Attend this CLE course and learn from the lawyers and bankers what they confront and worry about during the marketing and distribution of initial public offerings. The panelists will provide real life examples...

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• $50

  Legal Ethics: Reasonableness of Fees

  Ethics Credits: 1

  Someone at your firm is in charge of making sure that both legal professionals and other employees comply with the ethics rules. Some firms have ethics committees that do this work. Solos, of course, wear every hat under the sun, including the "ethics guru" hat. In small firms, too, many of you...

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• $75

  Current Communications with the Public Regulatory Issues

  General Credits: 1.5

  Join FINRA staff and industry panelists for an in-depth conversation on current advertising regulatory issues, including the new Investment Advisers Act Marketing Rule. Topics Discussed: Learn about recent communications rule changes and proposals. Understand how the new IA Marketing Rule will...

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• $50

  Exempt Offerings

  General Credits: 1

  This CLE program focuses on industry and regulatory developments related to Reg D and Reg A+ offerings. During the session, panelists discuss common concerns and recent regulatory findings. Speakers provide practical information and effective practices for firms offering these products to retail i...

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• $50

  Advertising Compliance: Fundamentals of FINRA Rule 2210

  General Credits: 1

  This CLE course is designed for attorneys 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 With the Public rule, including filing requirements, internal approval and supervi...

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• $50

  Digital Communications and Social Media

  General Credits: 1

  In the rapidly developing world of digital marketing, how can firms stay in compliance? Can firms communicate relevant, meaningful information in the digital age? Attend this session to experience how industry and regulatory experts are grappling with these challenges. The panel covers current...

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• $50

  Investment Companies Current Topics

  General Credits: 1

  Join FINRA staff and industry panelists as they discuss topical advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. Panelists cover the compliance challenges associated with complex products such as single stock ETFs, crypto f...

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• $50

  Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws

  General Credits: 1

  This CLE program covers the basics of the intersection between “cryptocurrencies” and the federal securities and commodities laws. The title of this program comes from Samuel 2, 1:19. Why this title is apt should be obvious to anyone knowing of recent events in the world of crypto. The program d...

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• $50

  Cyber Security and Cyber Breach: What Lawyers and Their Law Firms Need to Know Now

  General Credits: 1.1

  This CLE program will discuss cyber security, the consequences of a cyber breach, including ethical considerations, and cyber insurance. In the U.S., we are faced with 50 state laws on data privacy and security. If your business holds personal information from a resident of a particular state, what...

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• $50

  Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities

  General Credits: 1

  This panel will discuss common content standards between FINRA Rule 2210 and MSRB Rule G-21 and describe some key differences. Attendees will hear tips on creating compliant municipal securities communications and considerations for more complex debt instruments. Attendees will gain knowledge of ho...

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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

  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

  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

  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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