Securities Law Bundle - Arkansas CLE

We have selected our most popular lectures and bundled them together into our Securities Law Bundle. This Bundle contains 12 Credit Hours of CLE Lectures including 1 hour of Ethics

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Arkansas CLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an accredited CLE Provider (3446) in Arkansas, approved by the Arkansas Continuing Legal Education Board. To view our full accreditation details please .

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12
Credit Hours
of CLE Lectures
  • 2 Ethics
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Only $199
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Courses priced individually at $358
  • 2 Ethics

Securities Law Bundle Includes:

  • $34

    Legal Ethics: Avoiding the Common Mistakes of Bad Lawyering

    Ethics Credits: 1

    This CLE course delves into the common pitfalls and errors lawyers make that attract Bar scrutiny and can damage their reputations. Key topics include the duty to communicate significant developments in a case, managing client expectations regarding the scope of representation, safeguarding confide...

  • $29

    The State Of The Art of Investment Advisor Regulations

    General Credits: 1

    This CLE course provides practical guidance for investment advisers following the Fifth Circuit's decision to vacate the SEC's latest Private Investment Adviser regulations. We will explore the reasons behind the SEC's decision not to appeal and the resulting implications. The course will also...

  • $29

    Crypto Assets: Trends, Regulatory Developments and Resources

    General Credits: 1

    Dive into the latest updates in cryptocurrency regulation in this insightful CLE session. We'll cover a range of critical topics, including the recent crypto-assets retail communications initiative, emerging trends in crypto misconduct, and practical resources for navigating the evolving landscape....

  • $29

    FINRA's Disciplinary Hearing Process

    General Credits: 1

    This CLE course features perspectives from FINRA Enforcement counsel, defense counsel, and a hearing panelist. The course aims to enhance your understanding of FINRA's disciplinary hearing process, focusing on the key differences between self-regulated hearings and those conducted by administrative...

  • $29

    The Latest in Private Placement Sales Oversight

    General Credits: 1

    Stay informed about regulatory developments, compliance obligations, and best practices for selling private placements. This CLE session will cover: An overview of regulatory updates and compliance obligations related to private placements Effective practices for adhering to Regulation Best In...

  • $29

    The Progression of Regulation Best Interest and Form CRS

    General Credits: 1

    This CLE program will explore recent observations on firms' compliance with Regulation Best Interest (Reg BI) and Form CRS. The discussion will provide valuable insights and practical guidance on key topics such as Reasonably Available Alternatives, the Care Obligation, and managing Conflicts of In...

  • $29

    Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know

    General Credits: 1

    Referring clients to financial advisers carries some degree of risk. Attorneys need to be knowledgeable about the regulatory framework that distinguishes financial advisers, particularly given the 2020 disclosure documents (Form CRS). This CLE course will explain the regulation of financial ad...

  • $29

    Financial Crimes: Outpacing the Threats

    General Credits: 1

    In today's rapidly evolving financial landscape, the threat of financial crimes is ever-present and increasingly sophisticated. This CLE course delves into the latest trends and emerging tactics in financial crime, including fraud, money laundering, and cybercrime. Through a combination of theoreti...

  • $29

    Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

    General Credits: 1

    This CLE course delves into essential considerations for firms outsourcing activities or functions to third-party providers. Learn from panelists about mitigating vendor risk through robust technology governance programs that cover the entire vendor engagement lifecycle, from onboarding and ongoing...

  • $29

    Fixed Income Securities Regulatory Outlook

    General Credits: 1

    This CLE session will delve into the most recent regulatory developments impacting fixed income and municipal securities. This comprehensive session will cover crucial topics such as Time of Trade disclosures, updates to SEA Rule 15c2-11, and critical insights for firms navigating examination prior...

  • $29

    Compliance and Legal Trends in The Financial Industry

    General Credits: 1

    Join leading experts from member firms as they explore the latest trends and strategic priorities shaping the legal and compliance landscape. In this dynamic CLE session, our panelists will share their invaluable insights on how evolving business, regulatory, and technological changes are transform...

  • $34

    Cybersecurity, Data Protection and AI Ethics: Identifying and Avoiding Common Pitfalls

    Ethics Credits: 1

    This CLE course delves into the current cybersecurity risk landscape, focusing on the ABA Model Rules regarding competency. It addresses the impact of technology on the security and privacy of client communications, information management, billing processes, and the oversight of law firm staff. The...

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