Securities Law Bundle Includes:

• $50

  Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals

  General Credits: 1

  This CLE session explores aspects of Regulation CF and considerations for broker-dealers and funding portals within the crowdfunding realm. Join panelists at this session to gain knowledge on emerging regulatory risks and practices broker-dealers and funding portals can implement to stay in complia...

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• $50

  Compliance and Legal Trends in The Financial Industry

  General Credits: 1

  Join industry leaders for an in-depth discussion on the latest legal trends, critical focus areas, and innovative strategies shaping legal and compliance functions within financial firms. This CLE session will provide valuable insights into how these changes are impacting the sector and share their...

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• $50

  The Latest in Private Placement Sales Oversight

  General Credits: 1

  Learn about regulatory developments, compliance obligations and effective compliance practices related to the sales of private placements, including relevant topics such as Regulation Best Interest, communications, due diligence and conflicts of interest. This session will discuss: Review regu...

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• $50

  Developments in Remote Supervision

  General Credits: 1

  This CLE course will explore the latest remote supervision developments including the remote inspection pilot program, amendments to supervision rules to cover Residential Supervisory Locations and risk-based supervision best practices. This session will discuss: Sunsetting of current COVID rel...

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• $75

  Selective Ethics in Litigation from the Plaintiff's Perspective

  Attorney Conduct Credits: 1.5

  This CLE course will focus on the ethical obligations that govern counsel in litigated matters and the boundaries that must be respected to ensure compliance with professional standards. Panelists will explore the ethical rules that shape an attorney’s responsibilities when representing a client an...

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• $50

  The State Of The Art of Investment Advisor Regulations

  General Credits: 1

  This CLE course explores the latest developments in Investment Adviser Regulation, focusing on practical steps for investment advisers in light of the Fifth Circuit's decision to vacate the SEC's recent Private Investment Adviser regulations. We'll examine why the SEC chose not to appeal the ru...

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• $50

  Clarity Above All Things: Writing Briefs That Can Actually Be Understood

  General Credits: 1

  This CLE course focuses on the cornerstone of effective legal writing: clarity. Designed for attorneys who aim to craft briefs that are not only compelling but also easily understood, the course emphasizes practical strategies for clear and concise communication. Participants will learn techniq...

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• $50

  Cybersecurity, Data Protection and AI Ethics: Identifying and Avoiding Common Pitfalls

  Attorney Conduct Credits: 1

  This CLE course explores the current cybersecurity risk landscape in the context of the ABA Model Rules on maintaining competency. It examines how technology affects the security and privacy of client communications, information management, billing, and the supervision of law firm personnel. The co...

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• $75

  The ABCs of MSOs: How and Why to Form a Compliant Lasting and Profitable Management Services Organization

  General Credits: 1.5

  This CLE presentation on Management Services Organizations (MSOs) provides an in-depth exploration of their critical role in healthcare. Participants will learn about the definition, purpose, and significance of MSOs, focusing on their structure and function. The course covers essential legal c...

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• $50

  Ask FINRA Senior Leaders

  General Credits: 1

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

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• $75

  Artificial Intelligence as Evidence: Discoverability, Use, Admissibility of Algorithmic & Digital Evidence

  General Credits: 1.5

  Recent interest in AI has been focused on how it can be used to improve productivity in your practice. This CLE looks at AI from a different perspective – as evidence that may be crucial to your trial. It will cover the legal definitions of artificial intelligence and what types of evidence fal...

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• $50

  Pause, Breathe, Lead: Mindfulness for the Modern Lawyer

  Attorney Conduct Credits: 1

  During this CLE, attorneys will learn what mindfulness is and what are known as the “attitudinal foundations” of mindfulness. We will explore evidence-based research which demonstrates the ways in which mindfulness can help attorneys reduce stress, and anxiety and connect more fully with the presen...

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• $50

  Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

  General Credits: 1

  This CLE course dives into factors firms should consider when outsourcing activities or functions to third-party providers. Hear from panelists as they discuss how to mitigate vendor risk with strong technology governance programs that encompass the lifecycle of vendor engagement, from onboarding,...

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• $75

  The Power of Pixels: Enhancing Summations Through Technology

  General Credits: 1.5

  We live in a digital age, so why is your summation stuck in the past? With the rise of digital evidence, technologically equipped courtrooms, and a more savvy jury pool, digital presentations for summation will give you an edge over your competition. This CLE lecture will walk you through build...

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• $50

  Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know

  General Credits: 1

  Do you refer clients to financial advisers? Lawyers need to understand the regulatory framework that distinguishes financial advisers, particularly in light of new (2020) disclosure documents (Form CRS). In this program, we will cover how financial advisers are regulated; how standards of care...

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• $50

  Promoting Market Integrity: FINRA’s Role in Market Structure

  General Credits: 1

  Hear regulatory and industry perspectives on FINRA’s role in promoting market integrity and on the new and evolving rules such as current market structure proposals, securities lending and how transparency initiatives are shaping the market. This CLE discusses: New and emerging rules SEC marke...

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• $50

  Recognizing and Handling Conflicts of Interest

  Attorney Conduct Credits: 1

  This CLE course will provide critical information and guidance regarding conflicts of interest, including screening for conflicts and addressing different types of conflicts, including simultaneous representation of clients, representing multiple clients, engaging in business transactions with cli...

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• $50

  Modernizing Off-Channel Communications Supervision

  General Credits: 1

  Join panelists as they discuss observations from thematic reviews of off-channel communications such as text and social media platforms and effective techniques firms are using to provide oversight of their firms’ communications. This session will discuss: Communications Landscape Rule Requireme...

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• $50

  Ethical Mediation: Principles and Practices in Dispute Resolution

  Attorney Conduct Credits: 1

  The use of Alternative Dispute Resolution, particularly in the area of mediation, has grown dramatically in the past ten years. However, it is a process in which many counsel are unfamiliar. Judge Scheinkman will discuss the importance of ethical considerations that relate to settlement negotiation...

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• $50

  Crypto Assets: Trends, Regulatory Developments and Resources

  General Credits: 1

  Join this session to learn about the latest cryptocurrency regulatory developments including the crypto-assets retail communications sweep and rule proposal, current trends in crypto misconduct, and resources and guidance firms can leverage. This session will discuss: • Regulatory Developments:...

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• $50

  The Progression of Regulation Best Interest and Form CRS

  General Credits: 1

  During this CLE session, panelists discuss recent observations on firm adherence to Regulation Best Interest and Form CRS and share guidance on Reasonably Available Alternatives, the Care Obligation, and Conflicts of Interest. This session will discuss: Actions: ­ Recent SEC and FINRA findings in...

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• $50

  Fixed Income Securities Regulatory Outlook

  General Credits: 1

  This CLE session addresses the latest regulatory focuses related to both fixed income and municipal securities, including Time of Trade disclosures, SEA Rule 15c2-11, and considerations firms should keep in mind with respect to exam priorities, findings, and enforcement actions. This session wil...

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