Securities Law Bundle Includes:

• $50

  Legal Ethics: Reasonableness of Fees

  Ethics Credits: 1.1

  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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• $50

  Legal Ethics and the Mediation Process

  Ethics Credits: 1.1

  The use of Alternative Dispute Resolution (ADR), particularly in the area of mediation, has grown dramatically in the past ten years. However, it is a process that many counsel lack familiarity with. Judge Scheinkman will discuss the importance of ethical considerations that relate to settleme...

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• $50

  Form CRS: Practical Considerations for Attorneys

  General Credits: 1.1

  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

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

  General Credits: 1.1

  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

  Variable Products & Retirement Planning

  General Credits: 1.2

  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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• $50

  Cybersecurity and Data Privacy Obligations for Lawyers

  General Credits: 1.1

  This CLE course will focus on cyber threats to the legal community, why hackers find lawyers to be productive targets, the costs of data breaches, and a lawyers cybersecurity obligations, including in the context of ESI. This course will include discussions on general ethical responsibilities o...

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• $50

  Hot Topics in FinTech

  General Credits: 1.1

  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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• $75

  Managing Your Client’s Series A Offering of Securities: A Step by Step Guide

  General Credits: 1.8

  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

  Fintech Firms: Communications Compliance Topics

  General Credits: 1.1

  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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• $50

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

  Ethics Credits: 1.3

  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...

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• $50

  Hot Topics in Municipal Securities and Other Fixed Income

  General Credits: 1.1

  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

  Advertising Compliance: Fundamentals of FINRA Rule 2210

  General Credits: 1.1

  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

  Exempt Offerings

  General Credits: 1.1

  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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• $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

  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

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

  General Credits: 1.1

  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

  Implicit Bias: “I’m Not Like You…Except That I Am”

  Diversity/Inclusion Credits: 1.1

  This CLE program, presented by a Trial Lawyer, Mediator, and Life Coach, is designed for lawyers and will discuss the following topics: (1) Explore case studies to improve your understanding of bias in law; (2) Dovetail the elimination of bias and prejudice into that perceived need; and (3) Fac...

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• $75

  Diversity and Race in Jury Selection

  Diversity/Inclusion Credits: 1.5

  This course will take a historical look at diversity and race in jury selection and how “all-white juries” have led to infamous miscarriages of justice throughout the years. We will also examine how the Supreme Court has addressed racial discrimination in jury selection from the 1880s to presen...

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• $50

  To Prosecute or Not To Prosecute? Analyzing Ethical Rules Telling Prosecutors When and How They Can Do Their Job

  Ethics Credits: 1.1

  Before the dramatic closing argument or daring cross examination, prosecutor offices must carefully assess whether the case may be prosecuted and precisely how. For prosecutors, these rules provide both limitations for whether cases can be prosecuted at all, and guidelines for how they should be p...

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