Securities Law Mini Bundle - Washington CLE

We have selected our most popular lectures and bundled them together into our Securities Law Mini Bundle. This Bundle contains 25 Credit Hours of CLE Lectures - Including 15 Law & Legal Procedure Credits and 6 Ethics Credits.

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25
Credit Hours
of CLE Lectures
Save $811
Only $399
Save $811
Courses priced individually at $1,210
  • 17.5 Law & Legal Proc.
  • 7.5 Ethics

Securities Law Mini Bundle Includes:

  • $50

    Cyber Security Compliance Trifecta: Recent Revisions to Three Important Security & Privacy Standards

    Law & Legal Proc. Credits: 1

    Cybersecurity compliance concerns have emerged as a forefront issue for both large and small enterprises. Revisions of three important standards or requirements were published recently and will have far reaching cybersecurity compliance implications. The National Institute of Standards and Tec...

  • $100

    Setting Up Your Securities Clients For Success

    Law & Legal Proc. Credits: 2

    Often times, legal counsel preparing Exempt Offering Documents for their clients evaluates them primarily on legal grounds, rather than on grounds associated with how the Offerings could be best articulated from an underwriting standpoint. This course, and these educational materials, are desig...

  • $50

    Bitcoin: Time For Lawyers To Take A Byte

    Law & Legal Proc. Credits: 1

    The economic impact of digital evolution is a reality of our daily lives. Over the past decade, the “Internet of Things” replaced the “Internet of Information.” Today and since the emergence of blockchain technology, we are seeing a sweeping wave of the “Internet of Value” gradually taking over...

  • $100

    Legal Ethics: Dos and Don’ts for Attorney Advertising

    Ethics Credits: 2

    This CLE program will discuss the ethics rules as they relate to the oft-confusing issues of lawyer marketing, advertising and solicitation. What’s the right balance of advertising, social media, video and client engagement to grow your practice. What’s the difference between and advertisement...

  • $50

    Ethics of Legal Writing

    Ethics Credits: 1

    This CLE course will look at five areas where attorneys sometimes get into ethical trouble through legal writing: frivolous writing, failure to cite adverse authority, incivility in legal writing, ghostwriting and plagiarism. In each of these areas, an attorney can help a client by knowing what the...

  • $75

    The Regulation of Private and Foreign Funds in the Age of Cryptocurrency

    Law & Legal Proc. Credits: 1.5

    This CLE course is designed to provide an overview of the regulatory regime applicable to private and foreign (i.e., non-registered) investment funds and the issues raised by the explosive rise of cryptocurrencies in the past several years. The course begins with an overview of the Securities Ac...

  • $75

    Privacy and Cyber Breaches: Are You Next?

    Law & Legal Proc. Credits: 1.5

    For businesses large and small, compliance with federal, state, and foreign privacy laws and regulations has become an essential business obligation. These laws govern a company’s collection, storage, use, sharing and disposal of personally identifiable information (“PII”), protected health informa...

  • $50

    Overview of FinTech Regulation and Compliance

    Law & Legal Proc. Credits: 1

    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 regulatory regimes in the United States governing k...

  • $50

    An Ethical Guide to Expert Witness Reports & Testimony

    Ethics Credits: 1.25

    Although the procedures for litigating a construction lawsuit is, on its face, an adversarial process, the American Bar Association has established Model Rules of Professional Conduct to provide guidance for lawyer conduct to follow while “seek[ing] a result advantageous to its client but consisten...

  • $50

    E-Discovery’s Emerging Ethical Challenges

    Ethics Credits: 1

    As the need to produce and examine ESI grows, attorneys will be expected to be technologically educated and sophisticated. This presentation will review the challenges of preserving and gathering this ESI, dealing with the clients use of social media, and the ethical pitfalls that need to be avoide...

  • $50

    Home is Where The License Is: Ethical Considerations for Lawyer Relocation During and After the Pandemic

    Ethics Credits: 1.25

    Many lawyers relocated during the pandemic, either to escape perceived risk or simply because they could due to remote working. This CLE program will assess the legal and ethical ramifications of relocation to states beyond where one is licensed, addressing both authorization to practice, juri...

  • $50

    Market Regulation Priorities

    Law & Legal Proc. 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 thoughts on equities, options, and fixed income compli...

  • $50

    The Ethics and Art of Settlement at Mediation

    Ethics Credits: 1

    This course will focus on the best way for attorneys to benefit from mediation, including presentation, psychology, strategy and the moves that help to get the best results. The course will examine the mediation process and how ethical behavior can ultimately lead to success. The presenter will...

  • $35

    Doing More With Less: Challenges of a Small Firm Compliance Department

    Law & Legal Proc. Credits: 0.75

    Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfilling their duties as officers of their firms. A strong compliance program does not have to be expensive to be effective but needs commitment from all levels. J...

  • $50

    Gamification, Social Media, and Digital Communications Perspectives

    Law & Legal Proc. 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 on broker-dealers’ apps and websites, and also con...

  • $50

    Regulation Best Interest and Form CRS: Recent Observations and What to Expect

    Law & Legal Proc. 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 with the rules. Panelists share what they are seei...

  • $50

    Consolidated Audit Trail

    Law & Legal Proc. Credits: 1

    Attend this program to hear how to prepare for compliance with the consolidated audit trail. During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including, firm obligations, deadlines, and resources. The panel also provides an update on t...

  • $50

    Enforcement Developments

    Law & Legal Proc. 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 decisions and settlements that illustrate FINRA pr...

  • $50

    FINRA’s Examination and Risk Monitoring Program

    Law & Legal Proc. 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 firms can expect going forward. After attending...

  • $50

    Fraud Detection and Prevention

    Law & Legal Proc. 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 brokerage industry, provide tips to identify potential...

  • $75

    Metaverse Law: Intro to ARVR, Issues, IP Ownerships, Monetization, Cyber Currency, and Licensing

    Law & Legal Proc. Credits: 1.75

    With apologies to the Beatles, tech is flowing out like endless rain into a paper cup, it slithers unregulated across the Metaverse. From AltCoin to Web 3.0, this course addresses the breadth of tech law in the Metaverse. The lecturer will review some of the basic terminology (in plain Engli...

25
Credit Hours
of CLE Lectures

CLE Your Way, Anywhere!
DVDs, Audio CDs, USB Stick, Online & iOS/Android App included at no extra charge!

Course Media Options
Only $399
Save $811
Courses priced individually at $1,210

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