Securities Law Bundle - Nevada CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 13 Credit Hours of NV CLE Lectures - Including 10 General, 2 Ethics and 1 Substance Abuse Credits. We automatically report your CLE compliance to the NV State CLE Board and pay any applicable fees.

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13
Credit Hours
of CLE Lectures
Save $355
Only $295
Save $355
Courses priced individually at $650
  • 3 Ethics
  • 1 Substance Abuse

Securities Law Bundle Includes:

  • $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...

  • $50

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

    General Credits: 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...

  • $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...

  • $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...

  • $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...

  • $50

    Virtual Isolation: Is Hyperconnectivity Helping or Harming the Legal Professional?

    Substance Abuse Credits: 1

    If we stop to think about what we look at most during the day, the answer would probably not be our family or friends, nor our clients or colleagues. The most feasible option would be our mobile phone. Smartphones are now our companions for work, social, leisure and even family life. However, exces...

  • $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...

  • $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...

  • $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...

  • $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...

  • $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...

  • $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:...

  • $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...

13
Credit Hours
of CLE Lectures

CLE Your Way, Anywhere!
DVDs, Audio CDs, USB Stick, Online & iOS/Android App included at no extra charge!

Course Media Options
Only $295
Save $355
Courses priced individually at $650

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