Securities Law Bundle - North Carolina CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of CLE Lectures including 2 hours of Ethics, 1 hour of Substance Abuse and 1 hour of Technology.

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12
Credit Hours
of CLE Lectures
Save $301
Only $299
Save $301
Courses priced individually at $600
  • 3 Ethics
  • 1 Substance Abuse
  • 1 Technology

Securities Law Bundle Includes:

  • $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...

  • $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...

  • $50

    Staying Safe and Sound: Maintaining a Realistic Work/Life Balance in Uncertain Times

    Substance Abuse Credits: 1

    We know that you may still be getting bombarded with messages about Covid related issues, whether that be on television, social media, or in your work and community networks. In uncertain times like these, anxiety, stress, fear, and negative thoughts can easily take control. You may still be worr...

  • $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...

  • $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

    The Ethics and Art of Settlement at Mediation

    Ethics Credits: 1

    This course will focus on the best way for attorneys to benefit from mediation, including presentation, psychology, strategy and the moves that help to get the best results. The course will examine the mediation process and how ethical behavior can ultimately lead to success. The presenter will...

  • $50

    Asset Protection for Cryptocurrency

    General Credits: 1

    Asset Protection is in high demand in our increasingly litigious world. Cryptocurrency is well regarded as the currency of the future. Cryptocurrency is increasingly becoming a targeted asset in many lawsuits. Blockchain technology can make it easy to see the amount of cryptocurrency an individual...

  • $50

    E-Discovery’s Emerging Ethical Challenges

    Tech/Ethics Credits: 1

    As the need to produce and examine ESI grows, attorneys will be expected to be technologically educated and sophisticated. This presentation will review the challenges of preserving and gathering this ESI, dealing with the clients use of social media, and the ethical pitfalls that need to be avoide...

  • $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...

  • $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...

  • $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...

12
Credit Hours
of CLE Lectures

CLE Your Way, Anywhere!
Online & iOS/Android App included at no extra charge!

Course Media Options
Only $299
Save $301
Courses priced individually at $600

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