Securities Law Bundle Includes:

• $50

  Ethical Considerations in Representing Multiple and Corporate Clients

  Ethics Credits: 1

  The foundation of any attorney-client relationship is the client. However, it isn’t always obvious to a lay person who your client is. It is imperative for clients to understand who we represent, the subtleties of organizational representation and joint representation, as well as the contours of at...

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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

  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

  Financial Crimes: Outpacing the Threats

  General Credits: 1

  This CLE will explore how threat actors are attempting to defraud investors through tactics including market manipulation, new account fraud, cryptocurrency and generative AI. Panelists address the most prominent threats and share effective practices and resources to help firms proactively combat c...

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• $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

  Update On Conflicts Of Interest for Attorneys: Rules and Recent Cases & Opinions

  Ethics Credits: 1

  Management of conflicts of interest present one of the greatest challenges to the efficient and ethical operation of a law firm and accordingly, a good understanding of the rules, and knowledge of important cases and opinions interpreting the rules, is essential. While all states in the US hav...

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