Securities Law Bundle Includes:

• $34

  Ethical Issues in Representing Clients with Diminished Capacity

  Ethics Credits: 1

  This informative CLE session will delve into the legal guidelines that apply to attorneys when assisting clients who face diminished capacity. The discussion will shed light on the potential risks of fraud and abuse that individuals with diminished capacity may encounter. Attendees of this cour...

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• $34

  Ethical Referral Fees: A 50 State Survey

  Ethics Credits: 1

  Fee sharing, when done correctly, is an ethical approach to providing a better outcome for clients. This CLE course will present the various regulatory frameworks that states utilize in determining referral fees for fee sharing. Designed to provide attorneys with a working understanding of how...

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• $29

  Hot Topics in Municipal Securities and Other Fixed Income

  General Credits: 1

  During this CLE program, a wide range of essential aspects pertaining to fixed income securities will be covered. This includes examination priorities, common findings, and enforcement actions, as well as rulemaking specific to the fixed-income market. An update on SEC Rule 15c2-11 will also be pro...

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• $29

  Current Issues Under Regulation Best Interest and Form CRS

  General Credits: 1

  A dynamic forum brings together regulators and industry practitioners, fostering discussions that encompass a wide range of current topics and valuable lessons derived from experiences with Reg BI (Regulation Best Interest) and Form CRS (Customer Relationship Summary). These exchanges of insights d...

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• $29

  The Inside Scoop on Insider Threats and Cybersecurity

  General Credits: 1

  This CLE program is designed to expand your understanding of the compounding risks associated with insider and related cyber threats. By joining this session, you will gain comprehensive knowledge about the various manifestations of these risks, their potential occurrence in different contexts, and...

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• $29

  Navigating the SEC and CFTC Whistleblowing Programs

  General Credits: 1

  Whistleblower programs are not a particularly well known or understood feature of the various entities which have them, including the SEC, IRS and CFTC. This CLE course will present an overview of these programs including eligibility, anonymity and the whistleblower process. The course will review...

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• $29

  Capital Formation: Current Regulatory Landscape and Challenges

  General Credits: 1

  Join us for an informative session where you can expand your knowledge on the regulatory landscape, potential challenges, and available resources for firms in the context of capital formation. In this CLE program, we will cover the following topics: Exploring the current regulatory landscape Ex...

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• $29

  Leveraging Regulatory Technology for Your Firm

  General Credits: 1

  In this CLE, the panelists delve into the impact of RegTech on the securities industry, examining the associated benefits, risks, and regulatory factors. They explore a range of RegTech tools that can enhance compliance efforts, including the innovative Machine Readable Rulebook introduced by FINRA...

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• $29

  Market Structure: Current Developments and Future Trends

  General Credits: 1

  In this CLE program, panelists will engage in a discussion about the latest advancements in market structure. They will cover topics such as order handling, order routing, execution quality disclosure, and other relevant developments pertaining to fixed income and equity securities. The session...

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• $55

  The Case Against Tipper X

  General Credits: 1.5

  On what he thought was a typical workday in New York City, Tom Hardin woke up, went to the gym and ran a few errands on the way to the office. And on his way, two FBI agents suddenly appeared, publicly flashed their badges and began questioning him about his job. Tom was shocked and confused an...

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• $29

  Compliance and Legal Trends

  General Credits: 1

  This CLE program will delve into the emerging trends, pivotal focus areas, and strategic initiatives that are currently shaping the landscape. Gain valuable insights from the panelists as they analyze the impact of these transformative changes on compliance practices. Discover how organizations are...

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• $29

  Ask FINRA Senior Staff

  General Credits: 1

  In this CLE program, senior staff members from FINRA deliver informative updates on crucial regulatory matters. The panelists engage with the audience, addressing inquiries concerning FINRA's risk-based examination program, disciplinary actions, market regulation initiatives, as well as new and for...

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• $55

  Overhaul of Regulatory Capital Requirements Proposed By US Banking Regulators

  General Credits: 1.5

  This CLE course will examine the new, and fairly extensive, list of revisions to the regulatory capital requirements for both large and midsize banking organizations which were jointly proposed by US federal banking regulators. The revisions, which are quite lengthy, would seriously alter the requi...

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• $34

  Ethics in Modern Day Legal Practice: The Current Hot Ethical Topics Found in Client Grievances and Malpractice Suits

  Ethics Credits: 1

  Ethical issues are constantly evolving and modern day legal practices need to stay current. This informative CLE course will address the latest trends in ethics with a particular focus on the rules that govern attorney conduct. The course will explore how the rules apply to an ever-changing landsca...

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