Securities Law Bundle Includes:

• $35

  Options Markets: Recent Regulatory Issues

  General Credits: 0.75

  Join FINRA staff and industry panelists as they discuss regulatory issues impacting options markets. After attending this session, you will be able to: Discuss recent and ongoing regulatory initiatives Discuss supervision of options trading in customer accounts Identify effective controls, proce...

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• $35

  Alternative Investments and Complex Products

  General Credits: 0.75

  This CLE program addresses developments related to alternative investments and complex products. The session emphasizes the importance of understanding product features, characteristics, and their supervisory challenges. After attending this session, you will be able to: Understand the latest re...

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• $75

  Mediation Ethics for Mediators and Mediation Advocates

  Attorney Conduct Credits: 1.5

  This CLE course is designed for mediation advocates and third-party neutrals to fully inform and assist in understanding and working with the ethical rules that apply in mediation. A review of the Model Standards promulgated jointly and recommended by the ABA (American Bar Association), the AAA...

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• $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

  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...

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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

  Legal Ethics: Reasonableness of Fees

  Attorney Conduct Credits: 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

  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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• $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...

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• $50

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

  Attorney Conduct Credits: 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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• $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...

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• $50

  Variable Products & Retirement Planning

  General Credits: 1

  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

  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...

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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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• $75

  Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO

  General Credits: 1.5

  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

  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

  Cryptocurrency and the Blockchain: Understanding the Landscape of Legal Issues and Offerings

  General Credits: 1

  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 direc...

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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

  Advertising Compliance Bootcamp: Select Topics

  General Credits: 1

  This panel will discuss examples of content violations, disclosure and performance standards of SEC Rules, standards for variable insurance product communications, guidance with respect to options communications, presentation of rankings, the core concepts of social media and digital communications...

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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

  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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• $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

  Senior and At-Risk Investors

  General Credits: 1

  Join FINRA staff and industry experts as they discuss how FINRA rules and state requirements related to Senior and Vulnerable Adult clients can help firms service this growing client base and how to ensure your organization is protected. After attending this session, you will be able to: Review...

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