Securities Law Bundle - Rhode Island CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 6 Credit Hours of CLE Lectures - Including 2 Credit Hour of Ethics.

CLE Courses Available Online and with iOS/Android App!

Course Media Options

Instantly Print Your CLE Certificates

6
Credit Hours
of CLE Lectures
Save $111
Only $189
Save $111
Courses priced individually at $300
  • Includes 2 Ethics

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...

  • $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...

  • $50

    Legal Ethics: Confidentiality and Taking Remedial Measures

    Ethics Credits: 1

    Confidentiality is one of the three main fiduciary duties a lawyer owes to their client. Without strict confidentiality, clients may not feel free to discuss sensitive matters with their lawyer. This can sometimes clash with the lawyer’s obligations of candor to the tribunal when evidence that ha...

  • $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

    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...

  • $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...

6
Credit Hours
of CLE Lectures

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

Course Media Options
Only $189
Save $111
Courses priced individually at $300

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options