Securities Law Bundle Includes:

• $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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• $75

  The Case Against Tipper X

  General Credits: 1.5

  lmagine the following: lt is the morning of a normal workday for you and millions of others who live in New York City. You go to the gym for a workout and run some errands before heading to the office. Unexpectedly, two FBI agents approach you on the sidewalk, flash their badges - in public view - a...

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• $50

  Compliance and Legal Trends

  General Credits: 1

  Join industry leaders as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists share insights on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues.

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• $50

  Hot Topics in Municipal Securities and Other Fixed Income

  General Credits: 1

  This CLE program covers an assortment of key considerations surrounding fixed income securities including exam priorities, common findings and enforcement actions, fixed-income rulemaking, and an update on SEC Rule 15c2-11. This CLE program will discuss: Review of recent enforcement actions rela...

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• $50

  Redefining Communications Compliance for the Digital Age

  General Credits: 1

  As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communicati...

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• $50

  Market Regulation and Transparency Services Priorities: What You Need to Know

  General Credits: 1

  During this CLE session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs. This session will discuss: Discuss updates on market regulation and transparency priorities, including current initiatives and...

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• $50

  Ethics in the Digital Era: What Attorneys Need to Know

  Attorney Conduct Credits: 1

  Law firms are facing challenges in safeguarding against and dealing with data breaches. With the introduction of Ethical Rules of Conduct, as well as your state's professional conduct regulations for lawyers, and the actual possibility of financial and other penalties, it's imperative that you reco...

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• $50

  Current Trends and Threats in Financial Crimes

  General Credits: 1

  In this CLE session, Deputy Director Abbate and Under Secretary Nelson discuss the latest developments in financial crimes and illicit finance risk including new and emerging threats related to money laundering, fraud, securities fraud, cyber-crime, digital assets and sanctions.

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• $50

  Ethical Referral Fees: A 50 State Survey

  Attorney Conduct Credits: 1

  When done correctly, fee sharing is not only ethical–it leads to better outcomes for clients. This CLE program will survey the various regulatory frameworks utilized by states concerning referral fees with the goal of providing lawyers with working understanding of how to employ this tool to benefi...

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• $50

  Ethics in Modern Day Legal Practice: The Current Hot Ethical Topics Found in Client Grievances and Malpractice Suits

  Attorney Conduct Credits: 1

  This CLE course focuses on the latest trends in ethics found in modern day legal practice. While focusing on the rules that govern attorney conduct, the course explores application of the rules to the ever changing landscape of practice. Specific addressment includes preservation of electronic data...

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• $50

  Ask FINRA Senior Staff

  General Credits: 1

  During this CLE program, FINRA senior staff provide updates on key regulatory issues. Panelists address questions relating to FINRA’s risk-based examination program, disciplinary actions, market regulation programs and new and anticipated rules, among other topics.

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• $50

  Private Placements: The Latest Regulatory Developments and Compliance Considerations

  General Credits: 1

  Join panelists as they perform a deep dive into private placement regulatory developments including regulatory notice 23-XX as well as compliance obligations and best practices related to Reg BI, sales materials, due diligence, conflicts of interest and more. This session will discuss: Review r...

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• $50

  Market Structure: Current Developments and Future Trends

  General Credits: 1

  During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities. This session will discuss: Discuss current developments and future trends in...

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• $50

  The Inside Scoop on Insider Threats and Cybersecurity

  General Credits: 1

  This highly informative CLE session will delve into the multifaceted nature of insider and related cyber threats. In an increasingly interconnected digital landscape, it is vital for organizations to comprehend the compounding risks posed by these threats, understand where they can manifest, and pr...

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• $50

  Financial Responsibility Rules and Relevant Touchpoints

  General Credits: 1

  In this informative CLE course, panelists will discuss topics involving SEC and FINRA financial responsibility rules, including regulatory obligations of introducing, intermediary, carrying and clearing firms under FINRA Rule 4311; SEA Rule 17a-4; and other topics including liquidity and fully-paid...

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• $50

  The Firm Perspective on Monitoring and Protecting Against Financial Crimes

  General Credits: 1

  Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering. This session will discuss: Effective pract...

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• $50

  Current Issues Under Regulation Best Interest and Form CRS

  General Credits: 1

  In an ongoing dialogue, regulators and industry practitioners come together to delve into a wide array of current topics and delve deep into the valuable lessons learned through their experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). This collaborative...

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• $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...

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• $50

  Capital Formation: Current Regulatory Landscape and Challenges

  General Credits: 1

  Attend this session to learn more about the regulatory landscape, potential challenges, and resources for firms as it relates to capital formation. This CLE program will discuss: Discuss current regulatory landscape Discuss challenges and obstacles from firm perspective Resources for firms

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• $50

  Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored

  General Credits: 1

  This CLE course provides an in-depth overview of the US merger control process, antitrust agency priorities, forthcoming revisions to the US merger guidelines, and highlights of recent merger challenges. The course is designed to give attorneys a comprehensive understanding of the current state of...

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• $50

  The Evolution of Branch Office Inspections

  General Credits: 1

  Join us as we delve into a thought-provoking exploration of the invaluable lessons acquired during the transformative journey towards remote branch inspections. Our esteemed panelists will engage in an enlightening discussion, unveiling a wealth of knowledge encompassing a range of crucial topics....

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• $75

  Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

  General Credits: 1.5

  The US federal banking regulators have jointly proposed extensive revisions to the regulatory capital requirements for [midsize and] larger US banking organizations. The revisions are lengthy and would change the requirements for credit, market, and operational risk. Some of the revisions are l...

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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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