Nebraska CLE - Securities Law Courses
This is a listing of Securities Law CLE Courses for Nebraska. Please make your selection below of Nebraska CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
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Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings
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 direction, or whether crypto is a fading fad. The answers to these questions may lie in the legal analysis. What are the legal challenges and do the challenges doom the blockchain? Or can ou... More Info
$501General Credit -
Current Issues Under Regulation Best Interest and Form CRS
In an ongoing dialogue, regulators and industry practitioners come together to delve into a wide array of current topics and delve deep into the valuable lessons learned through their experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). This collaborative discussion explores the multifaceted aspects of these regulatory frameworks, encompassing not only effective practices implemented within firms but also the examination experiences encountered along... More Info
$501General Credit -
Current Trends and Threats in Financial Crimes
In this CLE session, Deputy Director Abbate and Under Secretary Nelson discuss the latest developments in financial crimes and illicit finance risk including new and emerging threats related to money laundering, fraud, securities fraud, cyber-crime, digital assets and sanctions. More Info
$501General Credit -
Cyber Security and Cyber Breach: What Lawyers and Their Law Firms Need to Know Now
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 legal and ethical obligations apply to your firm, and to your clients, under that state’s law? The FTC also watches to ensure that companies are complying with their posted privacy policies. Non-com... More Info
$501General Credit -
Digital Communications and Social Media
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 topics including how firms engage technology to address their compliance obligations and creative ways to use effective disclosure. More Info
$501General Credit -
Exempt Offerings
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 investors and discuss Regulatory Notices 20-21 and 21-26. More Info
$501General Credit -
Financial Responsibility Rules and Relevant Touchpoints
In this informative CLE course, panelists will discuss topics involving SEC and FINRA financial responsibility rules, including regulatory obligations of introducing, intermediary, carrying and clearing firms under FINRA Rule 4311; SEA Rule 17a-4; and other topics including liquidity and fully-paid lending. More Info
$501General Credit -
Fintech Firms: Communications Compliance Topics
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 assets. Panelists answer questions and provide tips on the use of technology to help navigate this quickly evolving area. More Info
$501General Credit -
Form CRS: Practical Considerations for Attorneys
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 standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as conflicts of interest embedded in the firm's way of doing busi... More Info
$501General Credit -
Hot Topics in Municipal Securities and Other Fixed Income
This CLE program covers an assortment of key considerations surrounding fixed income securities including exam priorities, common findings and enforcement actions, fixed-income rulemaking, and an update on SEC Rule 15c2-11. This CLE program will discuss: Review of 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... More Info
$501General Credit