Securities Law Bundle w/Live Webinars - Rhode Island CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle w/Live Webinars. This Bundle contains 6 hours of on-demand courses including 2 hours of ethics and an additional 4 credits of Live Interactive Webinar classes that can be used for any of the upcoming events on our webinar calendar

MCLE Courses Available Online & iOS/Android App and with Live Webinars!

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10
Credit Hours
of CLE Lectures
Save $251
Only $249
Save $251
Courses priced individually at $500

Securities Law Bundle w/Live Webinars Includes:

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  • $50

    Ethics in the Digital Era: What Attorneys Need to Know

    Ethics 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...

  • $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.

  • $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...

  • $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

  • $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...

  • $50

    Ethical Referral Fees: A 50 State Survey

    Ethics 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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10
Credit Hours
of CLE Lectures

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

Course Media Options
Only $249
Save $251
Courses priced individually at $500

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

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