Securities Law 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...

  Preview
• $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...

  Preview
• $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...

  Preview
• $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...

  Preview
• $50

  Understanding Diversity, Equity and Inclusion: How the Law Created Inequity

  Equity Credits: 1

  The phrase “Diversity, Equity & Inclusion” words often heard and even debated - encapsulates efforts to equalize opportunity. Understanding the need or purpose for DEI efforts requires an appreciation for how the law itself embedded inequity. This CLE course will cover the myriad of laws and jud...

  Preview
• $50

  Fintech Firms: Communications Compliance Topics

  Law & Legal Proc. Credits: 1

  Join FINRA staff and industry panelists as they share insights on challenges and effective practices related to communications compliance for Fintech focused firms. The panel covers topical issues such as digital engagement practices, mobile applications, integrated product offerings, and crypto as...

  Preview
• $50

  Advertising Compliance: Fundamentals of FINRA Rule 2210

  Law & Legal Proc. Credits: 1

  This CLE course is designed for attorneys who are new to FINRA’s advertising rules or experienced practitioners interested in a refresher. A panel of FINRA professionals provides an overview of FINRA’s Communications With the Public rule, including filing requirements, internal approval and supervi...

  Preview
• $50

  Private Placements: The Latest Regulatory Developments and Compliance Considerations

  Law & Legal Proc. Credits: 1

  Join panelists as they perform a deep dive into private placement regulatory developments including regulatory notice 23-XX as well as compliance obligations and best practices related to Reg BI, sales materials, due diligence, conflicts of interest and more. This session will discuss: Review r...

  Preview
• $50

  Advertising Compliance Bootcamp: Select Topics

  Law & Legal Proc. 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...

  Preview
• $75

  Due Diligence Under The 33 Act: Avoid Disasters in the Middle of an IPO

  Law & Legal Proc. Credits: 1.75

  From due diligence to closing there are traps and pitfalls that can be anticipated. Attend this CLE course and learn from the lawyers and bankers what they confront and worry about during the marketing and distribution of initial public offerings. The panelists will provide real life examples...

  Preview
• $50

  Skip Tracing for Lawyers

  Law & Legal Proc. Credits: 1.25

  Attorneys in most areas of practice, especially trust and estates, personal injury, malpractice, debt collection and real estate law occasionally encounter situations requiring the location of missing people. This includes heirs, beneficiaries, witnesses, shareholders and debtors. In many insta...

  Preview
• $50

  Exempt Offerings

  Law & Legal Proc. 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...

  Preview
• $50

  Investment Companies Current Topics

  Law & Legal Proc. Credits: 1

  Join FINRA staff and industry panelists as they discuss topical advertising compliance issues concerning registered investment companies, including mutual funds, ETFs and closed-end funds. Panelists cover the compliance challenges associated with complex products such as single stock ETFs, crypto f...

  Preview
• $50

  Digital Communications and Social Media

  Law & Legal Proc. Credits: 1

  In the rapidly developing world of digital marketing, how can firms stay in compliance? Can firms communicate relevant, meaningful information in the digital age? Attend this session to experience how industry and regulatory experts are grappling with these challenges. The panel covers current...

  Preview
• $50

  Cybersecurity, Privacy, and Data Protection Issues: Ethical Considerations and New Requirements

  Law & Legal Proc. Credits: 1

  A number of states are proposing mandating CLE hours with a focus on cybersecurity, privacy, and data protection. This obligation to possess technology competency is not a new concept, as many states have already adopted the American Bar Association (ABA) Model Rule's requirement. The purpose o...

  Preview
• $50

  Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities

  Law & Legal Proc. 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...

  Preview
• $50

  Variable Products & Retirement Planning

  Law & Legal Proc. Credits: 1

  Join FINRA staff and industry practitioners as they discuss variable and retirement planning productions. The panelists also explore frequently asked questions and discuss regulatory challenges. Topics Discussed: Summarize how to create a variable product communication with respect to content a...

  Preview
• $50

  Navigating the SEC and CFTC Whistleblowing Programs

  Law & Legal Proc. Credits: 1

  This CLE course provides an overview of the CFTC, SEC, and IRS whistleblower programs, with a focus on the basics of eligibility, anonymity, and the whistleblowing process. The course will cover the analysis of potential whistleblower claims and the necessary steps for filing a whistleblower claim...

  Preview
• $50

  Redefining Communications Compliance for the Digital Age

  Law & Legal Proc. Credits: 1

  As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communicati...

  Preview
• $50

  Current Issues Under Regulation Best Interest and Form CRS

  Law & Legal Proc. 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...

  Preview
• $50

  Ask FINRA Senior Staff

  Law & Legal Proc. 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.

  Preview
• $50

  The Firm Perspective on Monitoring and Protecting Against Financial Crimes

  Law & Legal Proc. Credits: 1

  Join panelists for a comprehensive discussion on financial crimes from the firms' perspective. This CLE session covers a variety of tactics, red flags and mitigation strategies associated with fraud, insider trading, cybersecurity and money laundering. This session will discuss: Effective pract...

  Preview
• $50

  Financial Responsibility Rules and Relevant Touchpoints

  Law & Legal Proc. Credits: 1

  In this informative CLE course, panelists will discuss topics involving SEC and FINRA financial responsibility rules, including regulatory obligations of introducing, intermediary, carrying and clearing firms under FINRA Rule 4311; SEA Rule 17a-4; and other topics including liquidity and fully-paid...

  Preview
• $50

  The Evolution of Branch Office Inspections

  Law & Legal Proc. Credits: 1

  Join us as we delve into a thought-provoking exploration of the invaluable lessons acquired during the transformative journey towards remote branch inspections. Our esteemed panelists will engage in an enlightening discussion, unveiling a wealth of knowledge encompassing a range of crucial topics....

  Preview
• $50

  Antitrust Merger Enforcement: Significant Regulatory Developments and Issues Explored

  Law & Legal Proc. Credits: 1

  This CLE course provides an in-depth overview of the US merger control process, antitrust agency priorities, forthcoming revisions to the US merger guidelines, and highlights of recent merger challenges. The course is designed to give attorneys a comprehensive understanding of the current state of...

  Preview
• $50

  Capital Formation: Current Regulatory Landscape and Challenges

  Law & Legal Proc. 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

  Preview
• $50

  Cyber Security and Cyber Breach: What Lawyers and Their Law Firms Need to Know Now

  Law & Legal Proc. Credits: 1

  This CLE program will discuss cyber security, the consequences of a cyber breach, including ethical considerations, and cyber insurance. In the U.S., we are faced with 50 state laws on data privacy and security. If your business holds personal information from a resident of a particular state, what...

  Preview
• $50

  Current Trends and Threats in Financial Crimes

  Law & Legal Proc. Credits: 1

  In this CLE session, Deputy Director Abbate and Under Secretary Nelson discuss the latest developments in financial crimes and illicit finance risk including new and emerging threats related to money laundering, fraud, securities fraud, cyber-crime, digital assets and sanctions.

  Preview
• $50

  Form CRS: Practical Considerations for Attorneys

  Law & Legal Proc. Credits: 1

  Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different sta...

  Preview
• $50

  The Inside Scoop on Insider Threats and Cybersecurity

  Law & Legal Proc. Credits: 1

  This highly informative CLE session will delve into the multifaceted nature of insider and related cyber threats. In an increasingly interconnected digital landscape, it is vital for organizations to comprehend the compounding risks posed by these threats, understand where they can manifest, and pr...

  Preview
• $50

  Oh How the Mighty Have Fallen: Crypto and the Federal Securities and Commodities Laws

  Law & Legal Proc. Credits: 1

  This CLE program covers the basics of the intersection between “cryptocurrencies” and the federal securities and commodities laws. The title of this program comes from Samuel 2, 1:19. Why this title is apt should be obvious to anyone knowing of recent events in the world of crypto. The program d...

  Preview
• $50

  Market Regulation and Transparency Services Priorities: What You Need to Know

  Law & Legal Proc. Credits: 1

  During this CLE session, FINRA staff discuss updates to market regulation and transparency priorities related to equities, options and fixed income compliance programs. This session will discuss: Discuss updates on market regulation and transparency priorities, including current initiatives and...

  Preview
• $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...

  Preview
• $50

  Market Structure: Current Developments and Future Trends

  Law & Legal Proc. Credits: 1

  During this session, panelists discuss current developments in market structure, including order handling, order routing and execution quality disclosure, and other developments for fixed income and equity securities. This session will discuss: Discuss current developments and future trends in...

  Preview
• $50

  Leveraging Regulatory Technology for Your Firm

  Law & Legal Proc. Credits: 1

  During this CLE program, panelists discuss how RegTech is impacting the securities industry as well as related benefits, risks and regulatory considerations. The session also covers different RegTech tools available to enhance compliance efforts, such as FINRA's new Machine Readable Rulebook as we...

  Preview
• $50

  Hot Topics in Municipal Securities and Other Fixed Income

  Law & Legal Proc. 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...

  Preview
• $50

  Compliance and Legal Trends

  Law & Legal Proc. Credits: 1

  Join industry leaders as they discuss trends, key focus areas and strategies that are shaping the industry. Panelists share insights on how these changes will affect compliance, and how firms are evolving and responding to business, regulatory and technology issues.

  Preview
• $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...

  Preview
• $50

  All's Fair In The Rules of Professional Conduct: Threats and Fees

  Ethics Credits: 1.25

  This CLE course will address the rules of professional conduct as it relates to fairness with a focus on two components: threats and fees. Part one will address threatening to present, participate in presenting, or presenting criminal or professional disciplinary charges to obtain an advantage in...

  Preview
• $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...

  Preview
• $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...

  Preview