Securities Law Bundle - Wyoming CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 8 Credit Hours of CLE Lectures - Including 2 Credit Hour of Ethics.

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!

Course Media Options

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8
Credit Hours
of CLE Lectures
Save $211
Only $189
Save $211
Courses priced individually at $400
  • Includes 2 Ethics

Securities Law Bundle Includes:

  • $50

    Variable Products & Retirement Planning

    General 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...

  • $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

    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...

  • $50

    Ethical Considerations When Responding To Lozada Complaints

    Ethics Credits: 1

    Immigration is a rewarding practice area with a collegial group of practitioners. While immigration law is among the most complex, a great benefit is colleagues who generously share their knowledge and experience with one another. This makes it even more difficult when one lawyer must prepare and...

  • $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

    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

    Investment Companies Current Topics

    General 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...

  • $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...

8
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 $189
Save $211
Courses priced individually at $400

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