Securities Law Bundle Includes:

• $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

  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

  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

  Ethical Issues Concerning Retainer Agreements, Website Management, and Termination Letters

  Ethics Credits: 1

  This CLE program will present and discuss issues concerning the engagement of clients through effective Engagement Letters, creating and maintaining firm websites to minimize any potential representation risks as well as determining when termination of the Attorney/Client relationship is proper (or...

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• $50

  The Ethics of Social Media and Attorney Competency

  Ethics Credits: 1

  Join us for a CLE program exploring the requirements for ethically using social media to build your referral network and the interplay of Rules of Professional Conduct on advertising, solicitation and attorney communications. This program will cover the Rules of Professional Conduct related to...

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• $50

  In the Beginning... and Before: Ethical Considerations at the Outset of Representation

  Ethics Credits: 1

  This is a two part lecture discussing the professional responsibilities of an attorney prior to representation. The first part of the lecture will discuss solicitation and barratry including ambulance chasing, rules of professional conduct, consequences, and enforcement. The second part wi...

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• $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

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

  Substance Abuse 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

  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

  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

  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

  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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