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Securities Law Bundle - Ohio CLE

12.5 Total Credits
w/ 3 Attorney Conduct
Bundle Price:$295 (Save $330!)

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 2.75 Credit Hours of "Professional Conduct” topics.

A very high-level overview of some of the issues and challenges facing attorneys representing companies that are utilizing new technology to improve and automate the delivery of financial services (FinTech). Overview of the core principles and r...

General Credits:1

This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy...

General Credits:1

Attend this session to hear how regulatory experts are evaluating the rapidly changing world of digital communications to capture investors’ attention and influence their behavior. The panel discusses risks and benefits of gamification features...

General Credits:1

Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying...

General Credits:1

This CLE course will address the role of attorneys in capital markets. The course will cover public and private offerings as well as issues related to expressing legal opinions, advising corporate boards and representing officers, directors and shar...

Conduct Credits:1

The Pandemic has finally taught lawyers, even the most technologically averse, that they can work from just about anywhere. But have the law and professional responsibility rules kept pace? In this program, we will explore the disconnect between...

Conduct Credits:1

Maintaining high standards of professionalism is important throughout the practice of law but perhaps even more so in challenging practice areas such as high conflict litigation, criminal practice, and immigration. Having a written philosophy of la...

Conduct Credits:1

Attend this session to hear about recent and noteworthy fraud cases. This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the broke...

General Credits:1

Attend this session to hear about market regulation priorities, including current initiatives and rulemaking. This session provides updates on market regulation priorities, including current initiatives and rulemaking. FINRA panelists share thou...

General Credits:1

Attend this session to learn about the firm grouping structure and lessons learned during implementation. During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what...

General Credits:1

A Practitioner’s Guide to the formation, filing and public offering of the securities of a Special Purpose Acquisition Company(SPAC), with forms. This CLE course provides insights, examples and explanations of the public offering process. The co...

General Credits:1.5

One of the key Investigative Techniques used by the Financial Industry Regulatory Authority (FINRA) are on-the-record interviews (OTRs). This CLE course will discuss in detail the dynamics of FINRA OTRs and how to properly prepare and represent wit...

General Credits:1
National Academy of Continuing Legal Education has been recognized as a self-study established sponsor (sponsor number 14232) by the Ohio Commission on Continuing Legal Education. To view our full accreditation details, please click here.


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